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Australia New Zealand Society for Ecological Economics 2013 Conference Proceedings Opportunities for the Critical Decade:

Australia New Zealand Society

for Ecological Economics

2013 Conference Proceedings

Opportunities for the Critical Decade:

Enhancing well-being within Planetary Boundaries

Edited By Alex Y Lo, Leonie J Pearson and Megan C Evans

Critical Decade: Enhancing well-being within Planetary Boundaries Edited By Alex Y Lo, Leonie J Pearson and

Australia New Zealand Society for Ecological Economics

2013 Conference Proceedings

Opportunities for the Critical Decade:

Enhancing well-being within Planetary Boundaries

Edited By

Alex Y Lo, Leonie J Pearson and Megan C Evans

Critical Decade: Enhancing well-being within Planetary Boundaries Edited By Alex Y Lo, Leonie J Pearson and

The Australia and New Zealand Ecological Economics 2013 conference proceedings titled “Australia New Zealand Society for Ecological Economics: Opportunities for the Critical Decade: Enhancing well-being within planetary boundaries”, is a fully refereed (double-blind, peer reviewed) and open access. The conference was held at the Crawford School of Public Policy, Australian National University, Canberra, Australia, 11-14 November 2013.

Conference Proceedings edited by: Alex Y Lo (Griffith University), Leonie J Pearson (University of Canberra) and Megan C Evans (Australian National University)

Preferred citation:

Lo, A.Y., Pearson, L.J. & Evans, M.C. (eds.). (2014). Opportunities for the Critical Decade: Enhancing well-being within Planetary Boundaries. Australia New Zealand Society for Ecological Economics 2013 Conference Proceedings. The University of Canberra and Australia New Zealand Society for Ecological Economics, Canberra, Australia.

Conference Chair: Leonie Pearson

Conference Scientific Chair: Steve Hatfield-Dodds

Conference Committee: Alex Y Lo, Megan C Evans, Sally Joseph, Robert Gale

Published by The University of Canberra and The Australia and New Zealand Ecological Economics Society, Canberra, Australia.

ISBN: 9781740883986

Format: Electronic

Conference sponsors:

Zealand Ecological Economics Society, Canberra, Australia. ISBN : 9781740883986 Format: Electronic Conference sponsors: i
Zealand Ecological Economics Society, Canberra, Australia. ISBN : 9781740883986 Format: Electronic Conference sponsors: i
Zealand Ecological Economics Society, Canberra, Australia. ISBN : 9781740883986 Format: Electronic Conference sponsors: i


Table of Contents



I. Managing the Environment

Co-management in protected areas: an opportunity for all? Leonie J. Pearson (University of Canberra), Melanie Dare (University of Canberra)


A theoretical analysis of a hypothetical auction program to pay for biodiversity in

Peruvian Amazon nuts (Bertholletia excelsa) ecosystems ……………………………….22 Pedro Flores Tenorio (La Trobe University)

Responses and Barriers of New Migrant Communities to Extreme Heat: A Case Study

in the City of Port Adelaide Enfield in South Australia …………………………………….40

Tahabub Alam, Md Aboul Fazal Younus

Relationship between economic development and pollutant discharge in Southeast Queensland ………………………………………………………………………………… Yoshiaki Tsuzuki (University of Queensland and Shimane University)


II. Environment and Society

Greenspace and life satisfaction: The moderating role of fear of crime in the

neighbourhood …………………

Christopher L. Ambrey (Griffith University), Christopher M. Fleming (Griffith University),

Matthew Manning (Griffith University)

………… …………………………… …………………89

What are we teaching and why it matters: A survey of the Australian and New Zealand

university macroeconomics curriculum in a post-GFC, ecologically stressed world Judith McNeill (University of New England), Jeremy Williams (Griffith University), Michael Coleman (University of New England)


The Relevance of Charles Taylor’s Interpretivism for Environmental Politics…………125 Glen Lehman (University of South Australia)

Fair water distribution…………………………… …………………………… ………… Anna Lukasiewicz (University of Canberra)



Integrated Assessment and Decision-Support Tool for Community-based Vulnerability and Adaptation to Storm Surges in Four Coastal Areas in Bangladesh……………….168 Md Aboul Fazal Younus (University of Adelaide), Sabrina Shahrin Sharna (BRAC University), Tamanna Binte Rahman (University of Hawaii at Manoa)

III. Policy and Governance

Policy Instruments for Sustainable Consumption: A Comparison of United Kingdom and Australian Initiatives ……………………………………… …………………………… …189 Fred Gale (University of Tasmania)

China’s Carbon Markets: Prospects and institutional barriers…… Alex Y. Lo (Griffith University)


What factors are important for effective Greenhouse Gas emissions trading? ……….219 Neale Wardley (Victoria University)

The Political Economy of Renewable Energy Generation in Australia…………………232 Jemma V. Williams (Australian National University), Jeremy B. Williams (Griffith University)

IV. Practitioners’ Perspectives

The Emissions Reduction Fund: a critique……………………………………………… John Hawkins (Australian National University)


The practice of decision making in coastal climate change adaptation: Reflections from

a Victorian case study…………………………… ……………………………………… Steve Blackley (Department of Environment and Primary Industries, Victorian Government)


Economic sustainability: what should it be? …………………………… …….…………264 Haydn Washington (University of New South Wales)



Ecological economics is a transdisciplinary field of study that explores the multiple relationships between complex and interdependent social, economic and ecological systems. Understanding these systems requires pluralist and integrative approaches, an appetitive for collaboration and learning, and expertise and a commitment to rigour within individual disciplines. The Australia New Zealand Society for Ecological Economics (ANZSEE) is a regional branch of the International Society for Ecological Economics. ANZSEE seeks to help create the knowledge and understanding required to build a sustainable and satisfying society (

The ANZSEE Biennial Conference 2013 was successfully held in the campus of the Australia National University at Canberra during 11-14 November 2013. It was organized under the theme of “Opportunities for the Critical Decade: Enhancing well- being within planetary boundaries”. This book is a collection of nominated proceedings of the Conference. It is a timely update of the current state of knowledge in ecological economics. Contributors come from Australia, New Zealand, and a number of Asian and European countries, and have been working at the forefront of ecological economics and related disciplines.

Papers in this book address policy-relevant problems about the relationship between economy, society, and the environment. They are organized into four major themes: 1) I. Managing the Environment includes papers on the environmental implications of production processes, and strategies for managing the environment and natural resources; 2) Environment and Society addresses the nexus of environmental management, development, and justice, and covers issues about resource distribution, well-being and education; 3) Policy and Governance provides a forum on environmental policy instruments, environmental governance, and the political economy of the environment, and 4) Practitioners’ Perspectives offers policy-relevant insights from experienced practitioners. The proceedings present cutting-edge research into these topics and synthesize latest research findings that are useful for dealing with pressing environmental problems in Australia and New Zealand, as well as in the wider region.

The Conference organizing committee would like to express gratitude to sponsors of the Conference for their generous support to the event, including the CSIRO, the Department of the Environment of the Australian Government, the Murray-Darling Basin Authority, the ACT Government, and the Crawford School of Public Policy of the Australian National University. We highly appreciate the Crawford School for hosting the conference. Thanks go to the delegates of the Conference for their great contributions.


Part I. Managing the Environment

Co-management of protected areas: an opportunity for all?

Leonie J. Pearson 1 * and Melanie Dare 1

1 Institute for Governance and Policy Analysis and Murray Darling Basin Futures, Collaborative Research Network, University of Canberra, ACT 2601

*Email:, Ph: 02 6201 5148


Co-management has been identified as the preferred management approach for the protection and conservation of nature flora and fauna around the world despite the ambiguity around the meaning and application of co-management in practice. While some see co-management as a panacea for solving all conservation problems, there is pressing need to critically explore the governance and management arrangements required for successful nature conservation. This article uses primary data from three protected areas in regional New South Wales (Australia), and the broader governance literature to develop a co-management implementation framework that identifies three distinct models of co-management in action; control, coordination and collaboration. The three models vary with regards to stakeholder positions, power, representations, interactions and role in delivery. This framework is beneficial for exploring the range of co-management arrangements existing, and potentially suitable for, specific management contexts and outcomes. While in its infancy, the framework provides a mental frame from which environmental managers can evaluate the applicability of alternative governance frameworks and their potential strengths and weaknesses.


The governance of protected areas is often complex and contentious, requiring a delicate balance between conservation outcomes and community development. In implementing this balance within individual protected areas and across the broader landscape, there are often unforseen and unintended social, cultural, economic and environmental outcomes associated with management concessions and subsequent trade-offs. While such outcomes can be positive, the real and perceived negative impact of protected area management on regional communities raises concerns amongst many local community members. Social tension regarding the expansion of protected areas within New South Wales (NSW) over recent years resulted in the NSW Legislative Council undertaking an inquiry into the management of public land in NSW in 2012- 2013. The findings of this inquiry highlight the complexity, and inconsistency, of governance and management approaches to public land management (including protected areas), and the need for new approaches that are more inclusive, transparent


and localised (NSW Legislative Council, 2013). These preferred management characteristics are synonymous with co-management: the political and cultural process in which a variety of partners share roles and responsibilities for a given task (Borrini- Feyerabend 2000).

In many protected areas within NSW co-management is already being implemented, albeit in varying degrees, using multiple models and resulting in differing success. This paper explores the management of three protected areas in Western NSW rangelands, each of which, as we shall see, use a different model of co-management. The protected area case studies were explored to identify their models of co-management, including how each model influenced governance and on-ground delivery outcomes. These findings are especially pertinent given the trend towards localism across State and Federal government policy, whereby local actors become more involved in policy making and implementation to ensure optimal and relevant outcomes for their local circumstances (Evans et al. 2013). A better understanding of how co-management is being implemented in NSW protected areas will enable improved governance and management approaches that better reflect and incorporate the community interests, and encourage positive benefits from protected areas for local regions. We provide some clarity around the issue of co-management, including the development of a framework to identify different models of co-management currently in practice, and the provision of practical insights into how natural resource managers can use various forms of co-management to enhance conservation outcomes.

The paper has four sections. First, we introduce co-management, including a brief historical overview and its key assumptions. We then describe the three case study protected areas which is followed by the introduction to the various models of co- management within the co-management framework. In the final section we provide practical insights into co-management and suggest improvements to the governance of protected areas.

Co-management within protected area management

At its core, co-management is a sharing of decision-making responsibility between those who use natural resources and the state-based management authorities (Berkes 1994). This involvement of stakeholders in the decision-making process is thought to improve both the knowledge available for rule making and the legitimacy of the rule- making process (Jentoft 2000a). In turn, this ideally leads to rules that are tailored to local conditions (Ostrom et al. 1999, Basurto 2005), higher levels of compliance (Jentoft 2000c, Eggert and Ellegård 2003) and lower monitoring and enforcement costs (Abdullah et al. 1998), resulting in the enhanced success of conservation management regimes. Co-management is used in widespread applications and instances, but it has a distinct theoretical background (for further insights see Carlsson and Berkes, 2005,


Hanna 1994, Pinkerton, 1994 and Jentoft et al., 1998). Recent efforts by Borrini- Feyerabend, et al. (2013) have shown that co-management has been implemented in a large range of contexts delineating a varied set of governance arrangements. arrangements.

Important to note in the discussion on co-management is that we are discussing different governance arrangements, not that co-management is any better or worse than other types of management (i.e. purely state or private). The success of any governance system is about how best it fits in achieving its outcomes within the context supplied. The literature is clear and we support that any successful governance arrangement needs: legitimacy; transparency; accountability; inclusiveness; capacity; fairness; integration; and flexibility (see for example; Biermann et al., 2009, Lemos and Agrawal, 2006, Lockwood, 2010, and Paavola, 2007).

Recently, there has been a coupling of co-management with other processes, such as adaptive management (see Armitgae, et al., 2009), or specific industries (e.g. fisheries co-management see Basurto, 2005). However, for the purpose of this paper we will focus on co-management arrangements, i.e. the governance structure(s) rather the holistic management approach. It is important to recognise that governance and management have very different meanings despite the conflation of these terms in the broader environmental management literature. As described by Bevir (2012), governance directs and/or guides management by setting policy and procedures to ensure the organisation/policy is ‘well run’. Management on the other hand, implements such policies and procedures. Additionally, it is important to note that governance is different from government. Again Bevir provides clarity on this: “government refers to political institutions, governance refers to processes of rule wherever they occur” (2012:3). In the case of public land management there are essentially three tiers of organisation in operation; i) the broader policy is set predominantly within the confines of political institutions (e.g. National Parks and Wildlife Service); ii) such policy is further refined to suit the local circumstances through locally-based ‘co-management’ committees; and iii) the operational management activities are implemented by on ground park managers and their teams. This tiered system highlights the different levels of governance and the networks of actors in action, both important aspects of protected area management. Our focus is on tiers (ii) and (iii).

Co-management is increasingly being implemented, or trialled, to achieve conservation outcomes. Our focus is on how this can play out within a unified set of broader policy rules and institutions, e.g. a National Park System or a system of Protected Areas under the same unified rules. Protected areas are under increasing pressure to deliver multiple objectives including preservation of cultural heritage, recreation and tourism opportunities for local communities, and the protection of their environments (Locke and


Deardon, 2005). Kingsford and Biggs (2012:12) note conservation areas are a “complex range of stakeholders and their demands, values, priorities, and the multiple spatial and temporal scales involved in seeing the challenges realistically”. There has been a change in recent years to move the management of conservation areas from a purely government responsibility to a shared model with civil society or private actors (Borrini- Feyerabend, et al., 2013). Many conservation regimes have moved towards a shared model of management involving more than just government as an actor within ‘co- management’ arrangements (see Baker et al., 2012; Bawa, et al., 2011; Gleason et al., 2013; Weeks & Jupiter, 2013). While acknowledging that governance is dynamic, we see value in articulating some of the various models of co-management to highlight the relative merits of each model for specific management outcomes.

Co-management in Rangeland Protected Areas, Australia

Expansion of National Parks in Western New South Wales

Nearly three quarters of Australia is rangeland, comprising the low rainfall and variable climate arid and semi-arid areas. Rangelands include a large mix of ecosystem types including native grasslands, shrublands, woodlands and the tropical savanna woodlands which contain a wealth of biodiversity. However, landuse activities within Australian rangelands have had detrimental environmental impacts, including numerous extinctions or flora and fauna species (Australian Government, 1999). Until recently rangelands have been relatively underrepresented in the national conservation areas. However, since the early 2000’s specific acquisition of rangelands has occurred at the state level (e.g. New South Wales) where state agencies have acquired land to include in their protected area register, namely in National Parks. National Parks in NSW has two fundamental purposes; i) to provide a secure tenure for the effective and efficient conservation of natural and heritage values and, ii) the provision of opportunities for public enjoyment (i.e. recreation) (NSW Legislative Council 2013). National Parks in NSW are underpinned by a number of international and national legislative and policy commitments, including the 1992 Convention on Biological Diversity (CBD) and the 1992 national Intergovernmental Agreement on the Environment, both of which drive further expansion of protected areas across Australia.

The NSW National Parks Establishment Plan 2008 directs the priorities in expanding the NSW reserve system, and focuses on protecting poorly reserved ecosystems through the building of a Comprehensive, Adequate and Representative (CAR) public reserve system using bioregions 1 as the basis of assessment (DECC 2008). The proportion of bioregions that are protected varies across NSW due to historical and

1 “Bioregions (an abbreviation of ‘biogeographic regions’) are large regions of relatively similar geology, geography and geomorphology. Each bioregion supports a suite of native plants and animals distinctive from those in adjoining regions.” (DECC 2008:4)


environmental outcomes (e.g. historical land clearing which resulted in fragmented native vegetation, land tenures), with reservation levels of the Western NSW bioregions assessed as being low or very low, especially when compared to Eastern and coastal bioregions (NSW Legislative Council 2013).

This poor representation of Western bioregions in the NSW reserve system has driven the rapid expansion of National Parks in Western NSW, which resulted in significant concerns regarding the social and economic impacts of land conversion on local communities (see NSW Legislative Council 2013). These concerns, coupled with the NSW2021 goals regarding greater community involvement and the provision of “opportunities for people to look after their own neighbourhoods and environments”, highlight the need for a better understanding on the governance arrangements for protected area management.


During 2013, we undertook 22 semi-structured interviews with key community and governance leaders (e.g. local government, protected area managers, government managers, indigenous groups, community members) associated with three rangeland parks in western New South Wales as described in Table 1. Interviews lasted up to one hour, questions were developed using the literature and the researchers understanding of the context from previous studies 2 , with questions including themes around community involvement in park management, perceived local benefits and impacts of protected area establishment, and land use history. Interviews were analysed using an adaptive theory approach (Layder 1998), where content themes were developed iteratively based on both the literature and empirical evidence. Our task was to understand the governance structures for each park and determine the perceived acceptability of each of these approaches within the local communities and the effectiveness of the approach for regional development outcomes.

The interviews highlighted substantially different co-management governance models for each of the case study protected areas, and the influence of these governance structures on the achievement of a diversity of management objectives. This are summarised in Table 1 and further explored below.

Booligal Station National Park

The Booligal Station National Park is one of several new National Parks located within the Hay region. A renowned station with significant cultural values for community

2 Research was being undertaken in the region as part of the Murray-Darling Basin Futures Collaborative Research Network project ‘Building Sustainable Communities’ ( darling-crn/projects/sustainable-communities )


members from across the region, the purchase of the property and lengthy delays in opening the new park to the public created much angst within the community 3 . The strong community ties to local properties strengthen the community’s interest in the ongoing management of Booligal Station and other protected areas within the region. However, such expectations are not being realised, with many community members perceiving that the governance and management of Booligal Station (and other new parks within the region) as being ‘closed’ to the public, although significant input from the local Nari Nari indigenous people is well recognised and received. Additionally there is an advisory group that meets to provide overall advice and insight to NPWS on Booligal management and a small part of the park interacts directly with a set of private landholders in a wetland ensuring a need for close co-ordination. This advisory group is also referred to as a ‘community liaison group’ which is not well publicised and is perceived as being very ‘hushed’, with the community being predominantly unaware of the advisory group selection process. Governance of the Booligal Station, and other parks within the Hay region, is primarily based on NPWS staff and invited indigenous representatives, with a small committee of locals contacted when required. This restricted governance approach does not adequately seek greater community input, and as such contributes to the level of community concern regarding the expansion of National Parks within the region and the legitimacy of NPWS management objectives.


Table 1: Summarising three case study protected areas


Booligal Station National Park

Yanga National Park

Mungo National Park

(as part of the Lachlan Valley State Conservation Area)

(as part of Murrumbidgee Valley National Park)

(is 65% of the Willandra lakes World heritage Area)


6,500 hectares

66,734 hectares

110,967 hectares

Date of gazetting




Previous use

Multiple sheep/ wheat farming properties

Sheep/ wheat farm in the district

Western Lands pastoral leases, sheep farming


Preservation of current flora

Restoration of 12 different wetland types; protection of identified threatened and vulnerable flora and fauna.

Conservation of significant cultural, archaeological, and biodiversity values; provision of recreational opportunities



Government with advisory group

Advisory board to government

Joint-management with Indigenous and government


Management plans currently in place

Fire Management Strategy & Pest Management Strategy

Fire Management Strategy& Pest Management Strategy

Plan of Management & all necessary (e.g. Fire)

Level of







This community contention is clear in our interview results as shown by study participants commenting on the role and the ongoing park management operations of the park:

The aim of National Parks benefit to the public, but NO! Only for conversationalists, box thorn breeders [weeds] and wild pig breeders. No one can camp, no dogs, no fires, and you have to pay for entry. These parks used to be used regularly by the local community, [now they are] ‘land taken out of productivity and locked up tight as a drum.

We lose out, because the properties aren’t broken up for sale, we can’t expand, also they are paying more, twice what the land is worth. Local farmers are being squeezed, we used to agist [livestock], now we can’t even walk through the land, which we always did.

It is disappointing the Parks are not open to the public. They say they will be but

it costs money to have them open.

Can’t promote tourism by locking up the land. Tourism is not the answer to regional economic development it never was and it never will be.

Interviewees also raised a number of governance concerns pertaining to issues of inclusivity, power, representation and management operations:

There is no respect from State government for local government what-so-ever. … [Local government] trust some personnel but not the State government system. It is mostly a debacle but not the fault of the people on the ground, it is the senior managers.

Local government to National Park interactions are informal or ‘needs basis’. Local Government and community have no say in National Parks. Some Aboriginal groups have a say, especially on new input on acquisitions also cultural tours etc.

Local Government is not strong enough with National Parks they should be hammering them to open [the parks] up for all.

I don’t know who makes decisions about national parks – we [local landholders] don’t.

The local park managers are well aware of the community concerns but feel that their hands are tied:


National Parks is so busy we haven’t had time to do all the plans and get things going, we are understaffed and with new acquisitions all the time, it’s hard to keep up. Once we have the management plans established we can be more involved in the community whenever that will be!

These concerns highlight important limitations of a co-management model that limits communication. The limitation in communication leads to lack of transparency and hence restricts the broader understanding within the community of park management constraints that inhibit effective and transparent park governance and operations.

Yanga National Park

Yanga National Park was opened in 2009, after the purchase of Australia’s largest sheep farm in 2005, which was followed by significant community concern 4 . The iconic Yanga Station was an important economic and cultural asset for nearby Balranald, providing substantial agricultural employment and having Aboriginal and European cultural significance. Despite the rocky start, the governance of Yanga Station is well- established, with a community advisory group in place to provide local insights in decision-making. The advisory group consists of representatives from across the range of community interests (e.g. local government, business, Aboriginal group, Field naturalists, National Parks Association and local land holders). There is also a Friends of Yanga group. volunteers with a long history and association with Yanga who come out to the park and provide tours and experiences, as well as supporting Parks activities and undertaking social networking.

Interviewees raised a number of concerns about the acquisition and management of Yanga on the Balranald community.

[Yanga National Park] has utterly destroyed our community, and others too! Half the town’s income went.

National Park don’t manage the area – its just a mess of land all overgrown, fire hazard need to clean it up.

Yanga was a prominent property, an entity in itself, when sold locals felt betrayed, it always employed generations of people, it was almost as if the owners didn’t really own it the community owned it. 4-5 generations worked here, the connections are still here, the memories are still here.


There are far too many national Parks for reasonable management. … They shut the gates and people can’t see them. It rains, they shut the gate. It is pathetic and gives Balranald and NPWS a bad name.

With access now provided to the public and local community, there seems to be a waning of many of the concerns and the ongoing management of the Yanga National Park providing benefits for the community, although still constrained by the complexity of the management environment:

National Parks buy local – ‘its just the local people don’t want to see that, or they don’t understand’

Yanga does lots to work with the local community, employs full time local staff, provides seasonal employment, buys locally whenever possible, attracts tourists to the region.

There is a challenge for resourcing the national park a clear conflict between raising money which the park gets to keep and conservation.

The current governance arrangements were raised as a concern for the local people and in achieving transparency and trust between NPWS and local communities.

Wouldn’t trust Parks as far as I can kick’em’.

Yanga Parks [they are] not interested in community opinion.

‘It’s not what you do it’s who you are in the local area’ really important to employ local people and get local support we are working hard to get past the local ‘apathy’ for what is on their doorstep.

Yanga National Park uses an adaptive management approach to management planning which is discussed, and agreed to, at the Community Advisory Group. However, this is difficult to implement due to the various tensions regarding park management objectives:

‘When its dry it’s a national Park, when its wet it’s a public recreation area, it is also a mixed tenure’ with the travelling stock route and commercial finishing licences (yabbies and carp) still in place, with strong built and cultural heritage and ecological significance (e.g. RAMSAR site).

On the day-to-day delivery it is all about ‘pests, weeds and fire’ these are all pre- planned and we use whatever resources we have available, e.g. volunteers, local funding, parks staff.


Mungo National Park

Home of the ‘Mungo Man’, Mungo National Park is a well-established National Park with well-developed governance approaches. Operated under a joint-management approach between the NPSW and the Aboriginal Management Committee, Mungo National Park governance is embedded in a partnership arrangement that facilitates mutual learning and recognition termed joint-management. This is a form of co-management which evolved from one with purely Aboriginal people involvement to now include local land holders, Aboriginal elders and the Council. This reciprocal arrangement provides sufficient accountability and legitimacy for both parties and the government, with the Mungo National Park management objectives and operations predominantly determined by the joint-management committee (within relevant policy, legislation and regulatory requirements).

Co-management of the Mungo National Park is seen as a positive by research participants:

The National Park is really great they have done a lot for the Aboriginal people, work for younger people and older blokes, encouragement to look further ahead, caring for country. National Parks allows us to do all that, before they came on the scene we didn’t have the money to do all this.

We are all working together to make the park better.

Black and white, we mix it all up and have a ball.

However, success is varied and depends on local conditions that acknowledge the long- term nature of protected areas and the necessity for dynamic governance arrangements:

Co-management takes time, don’t rush everything through at once – take time to talk, and think and look at it again, there are different types of people involved who need to work through different issues.

We are always working together, differences can all be worked out if you sit down and talk about it, people will be reasonable. … Makes you laugh how people change as you go through the process.

The governance of co-management

The case studies provide us with insights into the application of co-management as a governance approach within protected areas. Synthesising this material, we propose a co-management framework that places the different types of co-management ‘models’


along a spectrum, from total government control to one of total shared responsibility. This framework articulates the positions, power and representation of the stakeholders in co-management arrangements, as shown in Table 2.

The three models outline specific key governance attributes of co-management. Importantly, we are not advocating a single model of co-management, rather we are advocating a consideration of the types of co-management and what this could mean in different contexts.

The co-management continuum outlined in Table 2 draws on the environmental and multi-level governance literatures. Multi-level environmental governance systems have emerged across the world, in which governance is organized at, and across, different levels and scales, involving multiple actors (government, private organisations and community) (Ostrom et al. 1961). Hysing (2009) and Driessen et al (2012) have previously defined different modes of environmental governance. We build on their contribution by using some of their key features necessary for distinguishing models of co-management (i.e. stakeholder positions, power base, model of representation, mechanisms of social interaction). The four features that differentiate our framework from previous work are:

i. a focus on the governance of policy delivery or implementation. This ensures a close practical and conceptual link between co-management (usually investigated at the delivery end) and environmental governance (usually focused on government’s multifaceted role in environmental policy).

ii. an in-depth investigation of the bottom-up perspective to governance, thus continuing the focus on delivery rather than policy. Which means that tensions between central and decentralized state are not prevalent.

iii. not limiting our actor set to the traditional state, market and civil society trio, ensuring a nuancing of the players, their presentation and roles. Our actor set focuses on common players in co-management, i.e. the government or state (S), private organisations and groups including non-government bodies, private trusts, companies and environmental groups (P) and society or community (C)

iv. we consider the role of all actors equally, not separating ‘government actors’ from other stakeholders. This reinforces the notion that co-management is essentially about the balance between all actors, with no privileging of government, over other actors.


Table 2. Models of co-management governance structure and key features.


Model 1 - Control


Model 2 - Coordination

Model 3 - Collaboration


















Stakeholder autonomy determined by state

Autonomy of stakeholders within predetermined boundaries

Self governing entities determine the involvement of all stakeholders


Power base

Authority of state,


Competitiveness; contracts & legal resources

Self-sufficient (autonomy) leadership and social networks

Model of

Pluralist (national election & lobbying)

Corporatist (formalized stakeholder arrangements)

Partnership (participatory stakeholder governing arrangements)


Mechanisms of social interaction

Top down; command and control

Actors decide; autonomously about interactions

Bottom up: social learning’s, deliberations and negotiations



State, contracted + volunteers

Shared between stakeholders


Booligal Station





State (S), private organisations and groups (P) and community (C)


This means that our framework for examining governance co-management has five characteristics.

1. Actor positions; identifing the types of actors involved, who initiates action and how the actors relate to each other (see e.g. Driessen et al., 2001 O’Toole and Montjoy, 1984).

2. Power base; the formal and or informal basis of power in the governance structure (see e.g. Shove and Walker, 2007).

3. Model of representation; how actors interact and engage in the governance structure (see e.g. Glasbergen and Groenenberg, 2001)

4. Mechanisms of social interaction is how decisions are made in practice (see e.g. Hanf and Scharpf, 1978).

5. Delivery; outlines who is responsible for, and undertakes, the majority of on- ground activities for conservation (see e.g. Pomeroy and Berkes, 1997)

Model 1 Control. This model highlights the seemingly deliberate isolation of the actors from each other, with the state controlling decision-making through predominantly discrete dialogue with individual actors/interests. In the control model, the State uses its discretionary power as the legal manager of the protected areas to control decision-making, including controlling who is involved, when and to what extent. While such an approach may seem unnecessarily hierarchical in a mature democracy such as Australia, this model has significant benefits and limitations that need to be recognised before one should unduly discount its merits.

First, the control model is a legitimate model within the regulatory frameworks that underpin protected area management, albeit not the preferred approach when broader development goals are considered (i.e. NSW 2021). Second, the control model observed was occurring in Booligal Station National Park, a relatively new protected areas, where no management plan has been prepared, and resource availability was limited (e.g. staff expertise and time). Although such circumstances could benefit from a more participatory approach to actively shared resources critical for efficient and effective park management (Eversole and Martin 2005, Whelan and Lyons 2005, Woolcock and Brown 2005), protected area managers in this case were simply not able to undertake such participatory activities because of the significant resourcing required and the priorities of other park management activities (e.g. control of weeds, fire etc.). Third, the control model, because of its constrained nature, should encourage a fast decision-making process, and thus enable proactive protected area management through the timely completion of management plans and operational documents,


although this has not occurred in this instance, due to the rapid expansion of protected areas in the region and the resourcing constraints.

In our case study of Booligal Station National Park we can see that there is a need for

adequate resources, transparency, and accountability for such a model to be effective. The lack of progress has raised significant community concerns regarding the capacity

of NPWS to effectively manage the lands, claims which drive the perceived necessity of

a more participatory approach to protected areas management in the region that

enables positive management outcomes.

Model 2 Coordination. Unlike the control model, this model deliberately encourages

dialogue between the state, the community and private organisations although the state

is controlling the dialogue at all times. This approach is more participatory than the

control model, actively encouraging inclusion in decision-making from other actors, while retaining final decision-making power at all times. Actors have the opportunity to negotiate decision-making outcomes within the often formalised terms of reference they have been provided, reflecting a networked approach to governance. This approach provides opportunities for localised interests to be brought to the decision-making table and debated, presumably, in a considered manner. However the central control of the state remains with the state making the final decisions based on actor feedback.

Such an inclusive approach reduces tensions around the capacity of NPWS to manage the lands, through opportunities to form relationships, transparency of management objectives and constraints, and an element of community ownership of governance decisions (Dare et al. 2011, Hailey 2001, Mascarenhas and Scarce 2004). This is clearly shown in Yanga, with a preference to employ locals to extend the network and influence of the park into the broader community (e.g. Balranld Inc and local schools). The retention of ultimate control by the state would be perceived by some as a negative, despite the regulatory framework supporting this role, driven by ongoing negative perceptions regarding the intent and legitimacy of National Park objectives within the regional economy. This model requires the willingness of actors to be at the decision- making table with the knowledge that they don’t actually have the final say in decisions. Such an arrangement would require a level of trust in the state and, hence, such arrangements may take some time to deliver after initial land acquisition, time for community members and interest groups to adjust, refocus and move beyond the initial angst and uncertainty.

Model 3 Collaboration. This model represents the most inclusive form of co- management, whereby formalised partnerships are established amongst the actors to govern park management. Such participatory governance partnerships deliberately take control away from the state, instead dispersing control throughout the partnerships,


albeit with caveats regarding public accountability and compliance with legislative requirements etc. Such collaborative approaches, when functioning effectively, encourage mutual learning and deliberately seek the inclusion of a broad range of interests to generate ‘better’ decisions (Creighton 2005, Dare et al 2011, Eversole and Martin 2005). However, collaborative processes are often resource intensive can take considerably longer (Beder 2006, Borrini-Feyerabend and Tarnowski 2005) and, hence, are not suitable for all contexts. These constraints of collaborative management highlight the importance of the careful selection of co-management model. Collaborative processes require a high level of commitment from all parties for both effective governance and effective management processes. Such commitment may only be established once initial community concerns regarding broader impacts of land acquisition and benefits of protected areas are adequately addressed and hence legitimacy of protected areas and confidence in the capacity of NPWS is attained.

The Mungo National Park is a good example of this model of co-management with high levels of engagement, activities and shared decision making. Although this has led to long lead times in decisions being made and a more inclusive community engagement in the final solution, e.g. taking 2-3 years to decide on how to incorporate local culture in interpretation signage.

What models of co-management mean for outcomes

The models of co-management presented above highlight the multiple actors and their possible roles in protected area co-management. The governance, and consequently the management, of protected areas is not the sole realm of state based managers such as the NPWS. Modern democratic expectations, government policy and strategic goals, and resource constraints (including time, money and expertise) highlight the need for multiple actors to be included within protected area governance, especially in remote and regional areas which are typically under resourced and facing significant development pressures (e.g. climate change, diminishing profitability, demographic changes).

It is important to recognise that all the models discussed occur within the same legislative framework of protected area management. Keeping the technocratic framing constant across the three case studies shows the breadth and diversity of possible co- management arrangements in implementation. It also continues to highlight the role of the state in setting policy objectives that prioritise conservation outcomes, objectives which are often best delivered through a more inclusive localised approach. Each protected area sits within a local community with its own cultural heritage and development story. These local stories affect their approach to protected area management, often a new land use forced upon them, with perceived negative consequences for their community’s future development, livelihoods and sustainability.


These stories need an opportunity to be rewritten and reframed to become recollections that enable optimistic or at least constructive outcomes for the communities and for the environment. Through a deliberate, transparent and inclusive co-management approach, conservation outcomes can be achieved in a more effective manner with less community backlash and more community buy-in.

The development of this framework is to inform future management of protected areas, particularly in NSW, Australia, but also in the broader context of local communities and their interactions with protected areas globally. It occurs at a time where there is increased pressure from terrestrial protected areas to accommodate divergent uses, values. For example recent discussion has occurred in NSW regarding national parks being used for hunting and grazing (New South Wales Legislative Council, 2013). The way proposed to deal with these new and alternate uses of protected areas has been to state that co-management will be used to deal with competing uses. However, as we show depending on the model of co-management there may be no, slow or harmonious resolution to this issue.

This paper is limited by its cases and its framing. This framework is developed for terrestrial protected areas, however we note that whilst co-management has been very successful in marine areas, the level of nuancing and implications for actors has not been fully explored, as we have done here. Perhaps this is an area for future research that links the terrestrial and marine co-management models. Additionally more work needs to be done to explore the various models of co-management in practice to help explain why models work in some instances and not in others. This paper does not adequately explore the range of implications of co-management associated with broader policy development, network governance, or even participatory management. Rather the paper provides a basic description of the various models of co-management in practice and opens up the space for more focused debate on the implications of such approaches in the governance, and management, of public lands for conservation purposes.


We would like to thank the constructive and informative comments provided by participants at the 2013 ANZSEE conference and various discussions with colleagues over the past years, specifically Prof. Dave Marsh. This work would not have been possible without the awesome efforts of Caroline Sinclair, the world’s best research assistant and the tireless time that people gave freely to answer our questions. This work is partially supported by ANZSIG seed funding and the Murray-Darling Basin Futures Research and is supported through the Australian Government’s Collaborative Research Networks (CRN) Program.



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A theoretical analysis of a hypothetical auction program to pay for biodiversity in Peruvian Amazon nuts (Bertholletia excelsa) ecosystems

Pedro Flores Tenorio 1*

1 La Trobe University, School of Economics, Bundoora Campus. Melbourne, VIC 3083. Australia



Peru is a megadiverse country with the second extension of forests in the Amazon basin. The design of efficient public policies for these territories is challenging due the fragility of public institutions and lack of economic valuation of important ecosystem services provided from old-growth forests.

This paper develops preliminary a dynamic system model and a theoretical analysis from the ecological economics perspective for a key non-timber forest product of the Peruvian Amazon basin: the Amazon nut (Bertholletia excelsa). Specially, we analyse the bioeconomic dimensions of two ecosystem services: pollination and the forest cover to provide habitat for flora and fauna.

The contribution of this paper is to present evidence that support the argument that decision makers from development countries have an excellent investment opportunity for conservation of biodiversity in indigenous lands with Amazon nuts.


biodiversity, non-timber forest product, auctions, pollination, ecosystem service, Peruvian Amazonia


Loss of biodiversity is a significant global environmental problem, especially for extremely biological diverse countries, because of their importance for the entire world with such a large quantity and diversity of species and global ecosystem functions. Markets for biodiversity conservation generally do not exist, and this value is therefore not included in the national accounts. This lack of formal valuation has contributed to growing rates of degradation in forests around the world (Stoneham et al. 2012). In order to preserve biodiversity, new approaches are required. This is complicated by the fact that many developing countries face the challenge of balancing economic development against preserving biodiversity that is critically important for the rest of the world (United Nations Environment Program et al. 2008).


Over the last 30 years, there have been special efforts of governments from developing countries in Amazonia to develop policies and design strategies to improve the conservation of biodiversity (Flores, 2002; Dourojeanni et al. 2010) . The best known efforts have focused on the creation of reserves and protected natural areas on public land (Flores, 2011). However, less has been applied in privately held by indigenous forests or rural land. Some authors have criticised in the case of Amazon nuts landscapes, the economic opportunities that can provide this non- timber forest product to solve their poverty and degradation of the poverties (Escobal et al, 2002). Other authors have criticised the lack of planning of government in rural areas. When economic incentives have been developed for private agricultural land, they have been to support unsustainable practices by less efficient farmers (De Ferranti et al., 2005).

The provision of conservation of biodiversity in the territories of indigenous people using non-timber forest products as the main source of income offers an interesting context to analyse from ecological economics perspective. However, there are few initiatives to promote provision of conservation goods from public forests because of the lack of public funds and critical opportunity costs in an economically developing setting (Flores, 2002, 2011). Corruption has also affected results of forest concessions (Amacher et al., 2012), increasing transaction costs for stakeholders.

For developed countries, auctions for the conservation of biodiversity have been developed where private land managers are invited to formulate their payment requirement for a clearly defined conservation measure. Competition between landholders in the auction can reveal the 'real' lowest cost of delivering the desired conservation outcome. In our analysis we will include the possibility that the opportunity cost of land is much lower than in developed countries, however this does not mean that the economic value for conservation should be smaller, as some researchers have considered (Fleck et. al., 2010).

In this paper we consider mechanisms that have been developed and implemented in developed economies such as Australia which have the goal of conserving biodiversity. The purpose is to develop these mechanisms in ways that might successfully deliver conservation outcomes in developing economies. We identify as a critical problem that the implicit economic valuation of ecosystem services is zero. And, we assess in this paper, how some preferences for conservation of biodiversity could be made explicit to give proper signals to different stakeholders.

The Bush Tender scheme offers payment for conservation services in the state of Victoria, Australia. This innovative auction based approach has been able to deliver results that have been elusive with a range of previously applied mechanisms like command and control, subsidies or grants. The Bush Tender scheme applies only in the state of Victoria where 33,339 hectares have been incorporated into Bush Tender projects since 2001. These auctions have been designed to offer an economic incentive to landholders to provide the public goods of conservation of


biodiversity through activities such as retention of native trees, grazing management or fencing and targeted weed control (Department of Sustainability and Environment, 2012). These economic incentives have been developed after an assessment that found other mechanisms have not demonstrated improvements in the conservation of biodiversity. An important aspect of this scheme is spillovers. The conservation of biodiversity on public land or reserves depends in an important way on the outcomes obtained in natural resource management on private land (Lindemayer and Burgman, 2005).

The Bush Tender scheme seeks to improve the protection and management of high significance biodiversity assets in an efficient way. A key aspect of this efficiency is that the tender scheme elicits the willingness of landholders to supply conservation services, thereby enabling a market for the conservation of biodiversity to form when combined with demand for these services. This approach is successful and empowering because it enables landholders to generate a regular and reliable income stream thereby providing landholders with the incentive to manage and protect native vegetation. This is an important dimension when considering such a scheme for developing countries that seek to preserve biodiversity.

The Bush Tender scheme has required a commitment by Australian governments of AUS$ 18 million during last 10 years towards landholder payments for on-ground works and land use changes to improve the condition and security of their native vegetation over a five-year period and with permanent activities.

In the remaining three sections of this paper, we present: First, the methods and materials applied, identifying the study area. Then, we present the preliminary ecosystem model. And, we explore from the ecological economics perspective, its biological and economic dimensions. Finally, we present a hypothetical auction- based approach program to pay for two ecosystem services. We discuss if these auctions could be applicable to the Peruvian Amazon nuts case, specifically considering the case of indigenous people.

Methods and materials

The assessment of the potential application for auctions is analysed in this preliminary study that is applied to a case study of Amazon nuts that stands in old- growth forests of the Peruvian Amazon. This paper specifically focuses on economic incentives for the indigenous territories taking an ecological economics perspective.

An ecological-economic model is developed to analyse the complex dynamics of ecosystem services and identify key parameters and variables. The model explores the potential profits of non-timber production in an old-growth forest and its links with ecosystem functions and pollination input,


Second, to address the link between profits and pollination input, the model develop by Winfree et al. (2011) is considered and analysed for the case of Amazon nuts production function characteristics. And, third, a hypothetical conservation program is discussed from the adaptation of the model of Stonehan et al (2003) to the characteristics of Peruvian Amazon.

Study area

The region of Madre de Dios in the Peruvian Amazon is part of the hotspots of biodiversity of the world and the current Amazon nut collection areas cover more than 2.5 million hectares.

In the Peruvian non-timber concession areas created in 2001, approximately a 1000 Amazon nuts concession holders enter the 1 million hectares of forests and 5 native communities with 52, 963 hectares titled where interrelations among flora and fauna for pollination of Amazon nut trees has developed over thousands of years.

The exports of Amazon nuts are controlled by a small number of firms. The harvest is conducted manually on the forest floor after the extremely hard-covered fruit of the Amazon nut trees have fallen. Both the collection and the subsequent transportation are labour intensive and costly. Once harvested the nuts are transported to collection centres in 70 kilo bags, where they are dried.

Monetary income from the sale of Amazon nuts is the most important source of income for indigenous people, even though it is a seasonal activity. At the beginning of the harvest 2011 in January, the price by “barrica” was S/75, at the end of the harvest in March 2011, it was S/150, as seen in Table 1, and for which we have estimated economic benefits. It should be noted that this utility is achieved with an economic value of their work, which does not include health insurance costs, or formal contracts. This could be improved by moving towards an organic fair trade certification if the premium price received could be invested to improve labour conditions, but currently, the costs of certification are high for the size of business for the indigenous people. Also, it is important to highlight that the main interest of projects with natural resources of indigenous people of this study have been the focus of REDD+ (Reducing Emission from Deforestation and Forest Degradation) carbon sequestration projects (Ministerio del Ambiente del Peru, 2010).

As someone who has worked in the study area of this paper since year 2001 and he has witnessed the changes in the prices and the benefits for different stakeholders, including indigenous people. We have gathered some information in June 2011 from the organic producers of the indigenous communities with some characterization of the producers that it is shown in Table 1. It can be seen that the descriptive statistics of the 4 native indigenous communities in the area of study shown a total area of almost 50,000 hectares with 10,301 Amazon nut trees. This natural capital allows 120 harvesters and their families to obtain an estimated average profit of US$ 1163


per harvester per year or US$ 3.5 per hectare per year. These quantities are 50% less compared with other crops and estimates of the same Amazon nuts in Brazil or Bolivia, but is one of the few alternatives of income for them. It reflects in part, the minor density of these Amazon trees that happen in Peru. See Flores (2011).

Table 1: Descriptive statistics of harvesting Amazon nuts from 4 indigenous communities*, Madre de Dios Peru, 2011

Variables/ 4 Native Communities






Area (ha)






Amazon nut trees






Amazon nut harvesters






Production in “barricas” (bb.)






Production per productive tree (bb.)






Production per harvester (bb.)






Estimated profit per harvester/ year ($)






Estimated profit per/ hectare/ year ($)






Source: Own computations, Flores (2011)

*Notes: Price: S/150 / bb. With an exchange rate of S/2,70 per USD.

The Ecosystem Model

Biological dimension

The biology of the Amazon nuts trees include the fruit that are non-timber forest products and have the characteristic of being renewable. Every year, from January to March, these fruits fall to the ground of these gigantic trees (more than 50 meters), that can produce fruits during 500 years and live more than 1000 years, are collected to obtain its edible seeds that are dried and shelled to be exported. On the other hand, the renewal characteristic of fruits production is the result of numerous interrelations in the fragile ecosystem where Amazon nuts trees stands. Among those interrelations, we consider special attention to the disperser role of the agoutis (Dasyprocta spp.) and the success of the cross pollination of the Amazon nut tree flower, by the hymenopterans bees of the Bombus, Centris, and Xylocopa genders (Corvera-Gomringer, R., et al., 2010).Every year, the agoutis hide and store 3 to 8 seeds per each seed they consume; therefore, it has allowed that the agoutis’ descendants find food in the same ecosystems, while some of the seeds that dispersed turned into productive trees (Cornejo, 2001).


The productivity of Amazon nuts trees depends critically of the successful cross pollination of its flowers by bees, the previous year. To fulfil their ecosystem functions, these bees need a forest cover that they can use as habitat. It is critically affected by increase of forest fire smokes due changes of land use. (Corvera- Gomringer, R., et al., 2010). In this paper, we have simplified the complex interrelation between biodiversity and the production of Amazon nuts with the following two relations:



NTFP stands for the natural production of nuts in year t, that depends on abiotic factors (e.g.:temperature, rain, wind among others) and cross pollination of Amazon nut trees in year t-1. In this model, we consider “ab” as an exogenous variable ceteris paribus and focus our analysis in the change of cross pollination variable.

Q t is the quantity of productive Amazon nuts trees in year t. It depends also on abiotic factors and the quantity of seed dispersal “sd” produced by agoutis from 15 to 500 years ago, that also depends on the quality of the forest. This overlapping of functions is summarized in the following graph (Figure 1).

functions is summarized in the following graph (Figure 1). Figure 1. Overlapping in Biodiversity Conservation in

Figure 1.

Overlapping in Biodiversity Conservation in Amazon nuts forests and ecosystem


From the ecological perspective, an indicator of the sustainability of the production of this non-timber forest product is that the successful cross pollination of the previous


year is associated with a non-degraded forest where the Amazon nuts will be extracted in this year, ceteris paribus abiotic factors. For the sustainability of the biological production of this NTFP, the resilience of the ecosystem is more important than the number of Amazon trees (Q t ). As it was clearly identify by the International Union for Conservation of Nature (IUCN) when put this specie in its Red list in Brazil. (Flores et al., 2011)

There is a threshold of impact in the forest cover where Q t could be positive, but NTFP t zero. The positive relation between NTFP t and biodiversity is more evident when two additional equations are included:






Where FC t is the forest cover measured in percentage, proxy value of the non- degradation of the forest. And, r max is the intrinsic maximum growth rate of the forest cover specific to the ecosystem where Amazon nuts stands and K is the carrying capacity of the forest cover abundance that allows a habitat for the pollinating fauna. Following Hein (2010) in equation 4), we consider that G t represents the growth of the forest cover, and it is measured as a percentage. For an estimation of the model, a baseline of 100% is assumed. And then compared for the year of data to determine how much the forest cover has been reduced. If the error term “e t ” has an expected value of zero, then it is an indicator of the resilience of the ecosystem.

The relationship between reductions of FC t-1 is linked to the reduction of q t-1 , and we argue that reductions can be addressed with precautionary activities in the forest as well as through permanent activities similar to the Bush Tender program.

Economic dimension

The economic dimension of the NTFP gathering from the perspective of indigenous people in Peru, with five percent of total area is analysed here. The Gatherers- Hunters have a dynamic of use and conservation of natural resources that goes against the reduction approaches that have been made with a traditional economic approach, looking them only in the dimension of poverty. Some Policy makers in Peru look at them as backwards sector, considering in their analysis only monetary variables and traditional indicators such as gross domestic product growth or unsatisfied basic needs (De Soto, 2010)

The economic dimension of the decision making process of the indigenous people must be considered following a Georgescoau-Roegan tradition and not only including ecosystem service values as if they would be solved by the market (Gowdy, 1998). We understand the sustainability of the non-timber forest production and conservation of biodiversity associated is achieved if these people continue living valuing the life that they have chosen as valuable to live (Sen et. al, 1993).


This expected quality of life includes to have the right to maintain their tradition to gather, fish and hunt, without being pressured by public officers to do agriculture or renting their lands to undertake other activities more “profitable”.

To model the economic perspective, we can relate the harvest (H t ) of the Amazon nuts with the natural production (NTFP t ), and also with the price paid by the exporting company (P t ) as the following:


It is assumed that Indigenous people harvest almost everything they can, but we have seen how also they see the price of last harvest season as reference to preparing themselves and invest in the current harvest campaign, and also they expect a price for this season. The representative elected by them tries to negotiate all the production in a certified way.

In Table 2, we see a market with growing prices for Peruvian Amazon nuts, as it happens from the last decade to the current one due to various factors: more demand due to a growing human population; it is considered a luxury good, also even crisis has affected some regions; other destinies have continued with the demand.

Amazon nuts are the main source of income for indigenous people. Before the period presented in Table 2, it has been years as 2001 when the Price offered their product was as low as 10% of the price offered in October 2012 1 . At this time, the economic value of the non-timber forest product was so low that doesn’t give any incentive to put too much effort in organising to manage the natural production. Now, even that there was an international crisis in Europe and USA that reduced the consumption of Brazil nuts, other countries as Australia, Russia or Canada have replaced the former importing countries as is seen in Table 2.

Indigenous communities sit better in the global market economy, moving from a barter economy, that they did 15 years ago. In the past, the firms charged the indigenous people for transporting their nuts harvested. Today, some indigenous people have their own boats to transport it by themselves. Therefore, they have reduced their transaction costs, and since prices have grown significantly, they can work more days, work more hours per day, afford basic capital costs of machetes and gathering tools and payment for food for the days that are worked in the field. It also, improved relations with exporting firm and thanks in part, to support of some local Non- Government Organizations, trying to work together, they have improved their negotiation power in the face of the monopsony of the exporting companies.

1 Observation registered by the researcher in the native community of Palma Real in year 2001.


Table 2. Peruvian exports of Amazon Nuts in US$ FOB

Countries USA Russia Australia UK Canada New Zealand Netherlands Germany Japan Italy Spain Mean 2004-12
Countries USA Russia Australia UK Canada New Zealand Netherlands Germany Japan Italy Spain Mean 2004-12
Countries USA Russia Australia UK Canada New Zealand Netherlands Germany Japan Italy Spain Mean 2004-12
Countries USA Russia Australia UK Canada New Zealand Netherlands Germany Japan Italy Spain
New Zealand

Mean 2004-12

S.D. 2004-12

Growth 2004-12

Mean 2004-12 S.D. 2004-12 Growth 2004-12 11,794,666 3,607,385 119.75% 526,202 707,193 242.52% 525,163


































367,056 -41.32% 105,427 82,897 189.01% 145,986 109,275 103.71% 92,184 115,325 -68.57%
367,056 -41.32% 105,427 82,897 189.01% 145,986 109,275 103.71% 92,184 115,325 -68.57%

Source: Comision de Promocion del Peru para la Exportacion y el Turismo - PROMPERU 2

The organic certification has bring some more commitment for the exporting company to show their clients paying a fair price, however the indigenous people has

to relies in the projects of the NGO to pay for a certification, that it should not be the

main source of dealing with paying for biodiversity.

Now the prices are not so different with the offered by other non-indigenous harvesters. Organic certification has been useful to search for a “fair” price, but it is far away to be the main strategy to pay for conservation of biodiversity. We consider that certification is not an end itself, but a mean. As in the case of Peruvian Amazon nuts almost everything is exported, we consider that the importing consumers as well as the government should provide the firms with the right signals to increase their participation in the payment for conservation of biodiversity. One validate way is with

a hypothetical auction conservation program. This will be significant for the firms,

because they have an interest in maintaining the sustainability of their natural resource inputs. As presented in Figure 1, the question about the resilience of the Amazon nut ecosystem is something that should not interest only to some consumers and the indigenous people but also to the exporting firms which obtain profits due the renewable capabilities of the healthy habitat for wild pollinators.

In Figure 1, the H max is the maximum harvest from natural production every year. The

economic question about sustainability is if the exporting firm considers only the marginal costs of harvesting, given the price P E , when threats such as increasing the

forest fire reduce the capacity of pollinators to provide ecosystem services. i.e.

2 Original data retrieved from September 2014.


negative externalities happen. Furthermore, the difference of US$ (P F -P E )= P* would be the price for the conservation of biodiversity in H max hectares needed to avoid that loss of resilience of the ecosystem.

Also, it is important to observe the minimum supply price where the two lines intercept, P min is the minimum price that the harvesters require to cover the fix costs to enter to the forest to collect nuts. Figure 2 presents a basic analysis of harvesting Amazon nuts using linear marginal costs with a threshold. It implicitly assumes that the marginal cost of harvesting more Amazon nuts is increasing steadily at a fix until the carrying capacity threshold.

US$ / hectare S 1 = MgC** = C H +C Q F P F
US$ / hectare
S 1 =
MgC** = C H +C Q
Supply curve considering
cost of conservation of biodiversity
S 0 =
MgC* = C H
Supply curve without considering
cost of conservation of biodiversity
Minimum given price for the harvester
to enter to the old-growth forest
to collect Amazon nuts
H max
Ht ("barricas"/year)

Figure 2. The threshold for Amazon nuts’ ecosystem collapse

Winfree (2011) has modelled the pollination has an input for farming companies. We adapt this, for the exporting firm. Since the reduction of the pollination affects the exporting firms.


Then, the annual benefit changes this year, when pollination change in the previous year would be obtained differentiating respect to q t-1 :


) (




But, as changes in pollination are not considered in the costs, then the last derivate term of 7a is zero, and we would have:


And, the 500 period benefit accumulated changes would be:


In equation (8), if q t-1 is reduced and nuts prices are taken, then

<0 due to

<0 and/or



Equation 9 is the negative externality caused by other activities different to the nut extraction. For example, an increase in forest fires by practices in surrounding lands that affects cross pollination.

The effect of pollination can be reversed with government refunding exporting firms that invest in conservation of biodiversity, paying for natural growth of their input. Through the money they invest for supporting auctions of specific indigenous communities that show clear results and verifiable indicators such as achieving organic certification in all the process of Amazon nuts from collecting to transport.

Auctions are cost-efficient to avoid the reduction of ecosystem services. With these payments, indigenous people can apply forest management practices that maintain the old-growth forest functions. Paying for conservation through auctions is a cost- efficient investment. For example, in Figure 2 in Time 0: C hectares would be made available for conservation. In Time 1, without providing any incentive to conserve, E has. would be made available for conservation.

From the Figure 1, we have that according to the carrying capacity of the ecosystem, P F H max is the maximum optimal quantity that would be expected to be auctioned for paying for conservation. From the Figure 2, we can see if the society values the Amazon nuts enough to get those funds, then the loss of ecosystem functions will be less as this payment program starts sooner. C is bigger than E, in the example. One important advantage of this payment program is that not only would allow to protect an specie, but an entire habitat. In the case of Amazon nuts, already the trees with valuable species have been extracted, the ecosystem functions continue working.

Other advantage of this payment program is that it is cost-efficient than alternative models for funders. For example, in Figure 3 if a government or donor provides a fixed rate scheme (P*) of payment, it would only allowed D hectares for conservation.


(industry supply curve for S 1 S 0 conservation of biodiversity in US$/ha Peruvian old-growth
(industry supply curve for
S 1
S 0
conservation of biodiversity in
Peruvian old-growth forests with
Amazon nuts, time 0)
O.b. 1
O.b. 0
(optimal bids, time 0)
available hectares for conservation
of biodiversity in Peruvian old-growth
forests with Amazon nuts

Figure 3. How much degradation of old-growth forest can society afford? Source: Adapted from Stoneham et al. (2003)


The analysis made in this paper provides enough support to think in investment for conservation of biodiversity in habitats than in species. And, in the case of the Amazon nuts’ ecosystem in Peruvian Amazonia, the opportunities of investment and multiple benefits for maintaining ecosystem provision are clear. In this section, we explore the relevance of this conservation, the reliability and validity of the analysis made and the future research needs in this topic.

Relevance of Amazon nuts’ ecosystem conservation

This study has addressed the sustainable biological and economic path of the gathering of Amazon nuts by the indigenous people from Madre de Dios. It has been identified from the bioeconomic perspective that a relation between more production of a non-timber forest product and more biodiversity exists, and this relation does not happen in the majority of forest products. This is due the explained relation of the stand Amazon nuts trees that maintain or increase their productivity in a natural cycle linked with a healthy habitat for the cross pollination in the previous year. Cross pollination is not affected where it is a healthy environment for the flora and fauna that contributes for the pollination of flowers and dispersal of seeds.


The main threats for the provision of these ecosystem services are the increase of forest fires, the change of land use in surrounding territories and the expected large negative impacts on the Amazon basin as it has been identified by the last Intergovernmental Panel of Climate Change assessment (IPCC, 2014).

The indigenous people, exporting companies, government and international community can act with synergy and develop a strategy that addresses the conservation problem. Launching auctions with permanent activities, as in Bush Tender, would provide an adequate incentive for conservation of biodiversity to the stakeholders linked to the Amazon nuts market. This link is efficient to increase the supply of conservation of biodiversity and to give the right signals from consumers for exporting firms, to try to solve market failure and also, to encourage indigenous people to be more active in the provision of biodiversity conservation. Fulfilling the requirements for auctions, they will obtain more resources to protect and achieve fulfilment of their land rights.

After the approval of the Convention on Biological Diversity (UN, 1992), some authors criticised that payment for conservation of biodiversity from developed countries should not be discussed first (Perrings, 1994). Here, we have shown that Amazon nuts’ ecosystem for indigenous people provides an excellent opportunity for international funding for conservation of biodiversity in the Amazon.

We have highlight in this paper that the economic motivation of the indigenous communities in front of Amazon nuts relies more on an ecological economic perspective. Indigenous communities gather more nuts not for profits, but to continue having the life they consider valuable to live. We criticise the strategies and policies that only work in the view of indigenous people as less efficient or less informed than other Amazon dwellers that practice agriculture, livestock or give more added value, because they are chrematistic and not holistically economic.

Amazon nuts exported from indigenous territories are five percent of all Peruvian exports of Amazon nuts. The quantity of trees maintaining their productivity gives an indicator of the associated biodiversity. So, we can link positively NTFP with biodiversity. Payment for conservation of biodiversity would provide the indigenous people with benefits to conserve their knowledge about the conservation of biodiversity and activities to maintain the provision of ecosystem services. Their work for conservation will be rewarded with the objective of fulfilled and resilient land territories.

A hypothetical conservation program developed in these territories would be cost- efficient for international agencies to address the problem of implicit zero economic valuation and to pay for biodiversity conservation in indigenous peoples’ territories. It will allow a change from the barter of Amazon nuts to participate in the building of a market for ecosystem services. Also, it is a better option than certification, because with the latter, the upfront payments for organic certification of Amazon nuts creates


more transaction costs and affects the indigenous’ way of life, creating the need to invest time in transaction registrations as if they were farmers.

The current organic process does not take into account that the main reason the indigenous people sell their product is not to create profits, but to maintain the live they consider valuable to live, and their land rights.

The analysis made in this paper supports maintaining the capacity of the system to provide ecosystem services for non-timber production from the study area as an excellent investment opportunity for development countries. They would be for the maintaining of multiple ecosystem services. The achieved resilience of the Amazon ecosystems is more important than the reduction of species itself.

The need for getting funds from developed countries for these conservation programs raises questions about the feasibility of such schemes for developing countries such as Peru. However, the key to the provision of these conservation services without government payments is the marketing of these services to provide credible commitments that they will be provided. Furthermore, Amazon nuts (B. excelsa), can be marketed as being grown in a manner that preserves biodiversity, thereby eliciting higher prices and delivering returns to conservation activities. Finally, the reduction of more external debt can be negotiated in the framework of debt by nature swaps (Flores et al., 2011).

Reliability and validity

Information to the market about the sustainability of the harvest of a non-timber forest product that involves indigenous people could be more reliable addressed with geographical information about the source of the product. For example Amazon nut from Peru is by default organic. From our field research, the main change was between before and after certification, it was paper work, income that goes to the certifier, but not change at all in the process productive. Even the indigenous communities have to look for NGO help to support them with the organisation for the paper work. And, we find that the majority of consumers do not differentiate with the organic label in the majority of nuts retail shops in developed countries. They only see the generic label “Brazil nuts”, and do not count with enough information as it was presented in this paper, to take a better decision in their choices comparing with other nuts. As this is a preliminary study, the exploration of those trade-offs between different kinds of nuts with more information of the consumers should be developed.

Limitations of this study include that generalizations cannot be made to other non- timber forests products in Amazon basin, due the relation between more nut production and more biodiversity conservation does not exist in all ecosystems. Furthermore, we know that currently the Peruvian government does not count with enough technical staff and equipment monitor implementation of the conservation policies. But, we have highlight that for the studied non timber forest product, the


indicator to measure and validate the policy of auction is the number of stand trees. It provides an affordable indicator to measure and evaluate this strategy.

Future research

As this paper is a preliminary theoretical approach from ecological economics to improve our understanding of incentives for conservation of biodiversity in Amazon ecosystems with non-timber forest products. Then, empirical testing of the model with updated data should be collected in Peru and in developed countries to provide more evidence to validate the preliminary conclusions.

Finally, it would be interesting to explore how the strategies should be differentiated when we have different non-timber forest products, less linked to international markets and with other non-use values unlinked with indigenous people’s lands and with non-direct relationships between more production and more biodiversity. Also, more research more should be targeted at investigating the link between REDD projects and conservation projects, payment for ecosystem services and trade-off in megadiverse countries.


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Responses of Migrant Communities to Extreme Heat in South Australia: A Case study in the City of Port Adelaide Enfield

Tahabub Alam 1 and Md Younus 2*

1 School of Earth and Environmental Sciences, The University of Adelaide, South Australia

2 School of the Environment, Flinders University, South Australia


Extreme heat is already a threat to South Australians especially to culturally and linguistically diverse (CALD) migrants who are overseas born and brought up. The IPCC and other Australian and international research evidences have predicted more frequent hot extremes in Southern Australia that could pose a serious health risk for the disadvantaged minority communities because of demographic, economic and socio-cultural factors. In this context, some CALD migrants (e.g. Bangladeshi, Bhutanese and Sudanese) are thought to be vulnerable to heat due to their previous demographic, social and cultural orientations. To reduce vulnerability and increase adaptive response capacity, it is important to study behaviours and responses of the CALD communities to heatwave. This paper focuses on their efforts to adapt to hostile climate. The key aim of the study is to appreciate response enablers and barriers of CALD migrants to extreme heat.

A preliminary qualitative study was conducted with CALD migrants in the City of Port Adelaide Enfield area involving one focus group discussion and two interviews including seven participants from three different communities. Using thematic analysis, the key barriers of CALD communities to heatwave are identified as lack of English proficiency, acclimatisation, power costs, poor quality housing, and lack of heat-friendly housing whereas the enablers are marked as their individual adaptive capacity and strong community networks. These early findings suggest introducing heatwave financial support and adopting heat-friendly culturally appropriate sustainable housing projects for the low-income members would assist in adaptation to heatwaves. It would be beneficial to continue this preliminary case study with additional interviewees to develop a multilingual heat-health warning system, and design a heatwave awareness programme.


heat; CALD communities; vulnerability; climate change; response and barriers; City of Port Adelaide Enfield



The length, frequency, and intensity of heat waves have increased globally, and will continue to increase (IPCC 2012, 2014).In this context, extreme heat is a threat to South Australian communities and it may impact on community-health and well- being at increased rate. Heatwaves have potential to kill more people annually on average than any other weather disasters yet public attention is less focused on the potential impacts of heat because of its less prominent impacts on the wider communities (Carlson, 2008). Fourth and Fifth assessment reports of the Inter- governmental Panel on Climate Change (IPCC) (IPCC 2007, 2012 and 2014) have indicated that communities with limited adaptive capacity are particularly at risk from weather extremes, for instance, heatwaves as a consequence of unequal distribution of human, social, natural, physical and financial capital across the society. Besides, adaptive capacity of a particular community to heat can be decreased by demographic, economic, social, psychological and technological reasons (NCCARP, 2011). Moreover, adaptive capacity is affected by vulnerability which may be dependent on the local characteristics of communities and populations such as economic well-being and inequality, and other social factors (IPCC, 2012; Brooks et al. 2005). Furthermore, the degree of suffering depends on their cultural and social adaptive behaviours (O’Neill and Ebi, 2009). Exploring the responses and behaviours of communities during hot weather, many studies (e.g. Fothergill et al. 1999) in the US argue that particularly racial and ethnic communities are more vulnerable and at great risk to heat waves than the mainstream communities. Other evidence suggests that migrants and ethnic minorities are heat-related vulnerable populations (Cheng and Newbold, 2010). Other findings also suggest that groups with low socioeconomic status are increasingly at risks (Basu, 2009; Department of Health, Victoria 2011) as comfort during heatwaves depends on income, costs of utility and other economic factors (Semenza et al. 1999). For example, 72% of the victims of the 1999 Chicago heatwave had incomes below $10,000 p.a. (Naughton et al. 2002), and in the catastrophic 1980 heatwave in Saint Louis and Kansas City, low- income groups suffered more than high income groups (Jones et al. 1982). Generally, renters, recent immigrants, residents dependent on state support, migrant workers, women, young children, and the elderly and non-English speaking people are considered vulnerable to climatic hazard (Enarson 2007).

The above evidences raise emerging concerns about CALD communities and their vulnerabilities to heat in South Australia who are mostly overseas born with non- English cultural background (Health Department of Western Australia, 2005), different health characteristics (Australian Institute of Health and Welfare, 2012), religious beliefs, socioeconomic challenges, social relationships, environmental factors and health perceptions as they include a range of ethnic groups, migrants, new communities, refugees and asylum seekers (Emergency Management Australia 2007). It is evidenced that particularly new migrants in South Australia, under refuge- humanitarian category, have low incomes, high unemployment, low levels


accommodation and are overrepresented among the disadvantaged population (Hugo et al. 2011). In this perspective, migrants in the CALD communities of South Australia may face many challenges in the increasing number of heatwaves which may cause additional social and economic stresses due to many reasons such as lack of local language and culture, inadequate knowledge of the available services and unfamiliarity with the local environment (Sevoyan et al. 2013). Obviously this issue is not only significant for South Australia, since heatwaves are believed to be the effects of climate change, it is both regional and global concern.

In these circumstances, it is important to know about responses and behaviours of migrants in the CALD communities to extreme heat for equity issues. Recent heatwave scenarios and events in South Australia and the impacts on communities set out the rationale and evidence for the research. Before developing a community- based planned adaptation process to heatwave, understanding the real barriers and enablers of the CALD communities and their associated responses is necessary because underlying vulnerability factors and causes of reduced capacity are important. Hence, research is needed to investigate the underlying socio- demographical, socio-economical and socio-cultural reasons behind their difficulties to respond to heatwave effectively.

The key aim of the study is to explore responses and behaviours of the CALD communities to extreme heat by using thematic approach. Aligned with the key aim, the objectives are to find the difficulties faced by the CALD communities, discover their awareness about preventive measures and examine their perceptions regarding climate change and its impacts on them.

After surveying the literature, the following research questions were adopted:

(1) What are the factors that influence the CALD communities to coping with extreme heat? (2) What are the enablers and barriers responding to heatwave? (3) How they cope and interact with heatwave and (4) What support they need to adapt with extreme heat?

From our best of knowledge, this is the first study in a local council area to investigate the responses of 3 CALD communities to extreme heat events.

Recent impacts of extreme heat in South Australia

Recent heat waves in the South Australian capital city of Adelaide were severe during the period of 2008 and 2009. In 2008, Adelaide had 15 consecutive days of 35 ο C or more and 13 consecutive days of 37.8 ο C or above. In 2009, Adelaide experienced the highest 45.7 ο C and the warmest night on record only down to 33.9 ο C. The daily maximum temperature was 12-15 ο C above the normal (maximum 26.71 ο C and minimum 12.20 ο C which have been calculated from 30 year mean


during the period1961- 1990) over the consecutive five days of 27 -31 January 2009 (National Climate Centre 2008 & 2009). In Adelaide, these recent temperature trends which can be visualised from the following graph, have likely crossed limits of communities’ coping capacity in general as evidenced by the fact that 33% increases in ischemic heart (Incidence Rate Ratio, 1.33; 95% confidence Interval, 0.99-1.80) and 37% increases in total mortality (Incidence Rate Ratio 1.37, 95% confidence Interval, 1.09-1.71) were seen in the 15-64 age groups during the 2009 heat wave whereas older age groups were unaffected (Nitschke et al. 2011).

Studies in the major cities of the United States and Europe show that the mortality rate is largely influenced by heat index (Basu and Samet , 2002) for instance in the United States, extreme heat accounts for the largest cause of mortality followed by hurricanes and tornadoes (NWS, 2013). In 2003, heatwaves claimed 15000 lives in France (Fouillet et al. 2006) and led to about 70,000 deaths in 16 European countries (Robine et al. 2008).

Extreme heat and causes of vulnerabilities of CALD communities

Some studies (e.g. Lindley et al. 2011) hint indicate that the effects of high temperature may not be the same on the different individuals or community groups for different conversion factors like personal, environmental and social conversion factors which determine how positive and negative events are converted into gains and losses in well-being. The key vulnerability factors including age, socio-economic status, ethnicity, English proficiency and relative acclimatisation to hot weather impact on the vulnerability of CALD groups in adapting to extreme heat (Luber&McGeehin 2008; Cheng and Newbold, 2010). Moreover, lack of access to adaptation options for lack of skills, may create vulnerability to migrant groups (Eriksen & Kelly, 2007). Heat impacts can reinforce existing vulnerabilities of migrants by creating new health risks (increased mortality) and reducing livelihood options (Christoplos et al. 2009). Within the CALD communities, many in new and emerging communities have high blood pressure, mental health problems including grief and loss issues, kidney problems, multiple chronic illnesses and nutritional deficiencies which may create some difficulties in sweating and regulating body temperature and may also affect an individual’s ability to keep cool during extreme heat (Hansen et al. 2014, Semenza et al. 1999). Older people in the CALD communities who lack English proficiency skills may be doubly at risk because it can exacerbate isolation and deter them from accessing to useful preventive information. Lack of physiological and behavioural acclimatisation of humanitarian entrants and older migrants to local conditions can influence mortality risk (Knowlton et al. 2009) and can be a factor of heat-related deaths in Australia ( Green et al. 2001).

Some of the CALD community members’ homes are old without any air conditioning and insulation that may limit their adaptive capacity to heatwave compared to mainstream community. Besides, social factors like low socio-economic status, unemployment, financial hardship, lack of driving skills may be responsible for social


exclusion of some CALD group members particularly asylum seekers and new arrivals and this social exclusion may increase their social vulnerability as well as reduce adaptive capacity to the impact of extreme weather (Hansen et al. 2014, Sevoyan et al. 2013).


A qualitative methodology was chosen because of its ability to describe and explain

a person’s experiences, behaviours, interactions within the context of social, cultural

and political factors in the issue (Strauss and Corbin 1990; National Health and Medical Research Council 1995). Qualitative methods are participant-friendly (Popay et al. 1998) and flexible and can help the researcher to attain insight to the person’s subjective meaning, actions and context with respect to any suitable theme related to

the research questions, as well as uncovering any new theme. As the interactions and the responses of the CALD communities to heat are multi-dimensional, thematic analysis was used to discover the subtle barriers and drivers that can influence individual and community vulnerability and resilience respectively. Different themes were selected to capture these ideas in relation to the research questions. The central theme was the response issues (the enablers and barriers) of the three different CALD communities and the other peripheral themes which were demographic, socio-economic and environmental factors.

Framework of the qualitative study

Two-fold strategic targets were addressed such as setting a way of reaching the target communities and developing an interview topic guide. Community organisations and some secondary contacts were used to enlist the participants. An interview topic guide was developed in keeping with the aims of the study. The qualitative research approach comprised of interviewing, analysing, synthesising and report writing. Interviewing included sampling and organising the participants and preparing the interview guide. Transcript preparation and recorded data analysis were part of the analysing phase.


Snowball sampling was used in this study as it was difficult to access or approach the target groups. A convenient (with time and availability) sample of CALD group members was selected as the participants of the focus group discussion and interviews. Three different communities were chosen: Bangladeshi, Bhutanese and Sudanese. Five Bangladeshi community members took part in the focus group discussion. One Bhutanese and one Sudanese community members participated in individual interviews. Respondents were from different backgrounds such as skilled migrants, refugees and long-time resident in South Australia as shown in Table- 1. The residential period of the participants varied from 1.5 to 40 years in South Australia.


Participants were sampled from the City of Port Adelaide Enfield due to its socio- cultural and socio-economically diverse population (City of Port Adelaide Enfield 2011). A high proportion of CALD groups with refugee and humanitarian backgrounds live in Port Adelaide Enfield with 26.2% of its residents being overseas born, while 29% speak languages other than English at home; 4% higher than the national average (City of Port Adelaide Enfield 2011 and 2008, Australian Institute of Health and Welfare 2010) . The Bangladeshi community participants were approached through community organisations. The organisations conveyed the message to their members and interested persons communicated directly to participate voluntarily. The Bhutanese and Sudanese community participants were recruited through a secondary contact. All respondents were assured of confidentiality and anonymity.

Table 1: Participantscharacteristics

Name of the community

Number of




Type of







Skilled migrants

Focus group




Long-time residents in South Australia

















Data collection and analysis

Data were collected during the period of August 2012 to September 2012. Three meetings were held in three different places. A focus group discussion of 50 minutes was held in the meeting room of the Port Adelaide Enfield City Council library. One interview of 25 minutes was held at a respondent’s workplace and one at the School of Public Health, University of Adelaide, for 40 minutes. Before starting the discussion and interview, every participant was informed about the research objectives and provided written consent. The interviews consistently followed the interview topic guide which included open-ended simple questions.

Next, the participants were encouraged to explore their perceptions relevant to the research topic. They were given ample time to discuss their points of interest with clarity. The respondents revealed their perceptions about climate change and extreme climatic events spontaneously. The focus group discussion and the interviews were recorded digitally and transcribed verbatim into text and the


speakers are de-identified. The transcribed data were compared to their audio part carefully to ensure accuracy. Note-taking and field-notes were also maintained for appropriate analysis.


In analysing the data set, four themes emerge, in accord with the research questions and the broader assumptions of the socio-demographic and socio-cultural differences from the mainstream of CALD community members. These themes are:

(1) personal conversion factors (a variety of biological factors and associated factors like age, premedical conditions, and years lived in South Australia, local language proficiency, mobility and adaptive capacity), (2) socio-economic factors, (3) environmental factors and (4) response issues. The codes that are associated with the themes are shown in Table 2. The content of the codes is subjective and may often interlink and/or sometimes overlap with the identified themes.

Table 2. Identified codes with four main themes

Personal conversion factors



Response issues




Poor quality


Enablers: community networks, heat-type, cold water supply, beach, adequate weather information, cool-built environment adaptive behaviour and community steps



Particular health



Green space

Years lived in South Australia

Price of electricity

Unfamiliar weather

English language

Financial issues

Elevation of residential building


Barriers: income, language, cultural factors, cool foods, shopping centre as cooling place, housing design, financial issues, solar rebate, community housing/ government housing, warning message barrier, community speakers on TV

Preventive awareness





Outdoor workplace


Adaptive capacity


Personal Conversion Factors

Eight key personal conversion factors were identified as stated in the Table 2 which may impact on CALD migrants. Its impacts are described under 4 subthemes as follows:



Age and particular health condition

Children and aged people in the CALD groups are vulnerable to heat due to age factors which might limit their heat regulating mechanisms, and mobility compared to other age groups people. Besides, pregnant women and people with pre-medical conditions such as diabetes, hyper tension and other long term illnesses are also labelled as vulnerable for their reduced ability to keep cool during hot weather period. One respondent added “I think, the effect of extreme heat… in the new

country is basically borne by aged people

(Bhutanese community member) to

highlight the degree of adversity experienced by older people in the migrant groups at extreme heat.

2. Length of stay in South Australia

Length of time as a resident in South Australia was appreciated as one of coping factors to get adapted with the highest maximum temperature like 43 ο C. A participant from Bangladeshi community expressed that although he felt too much hot when he first arrived in South Australia but after residing 3 years here, he has learned to cope with 40 ο C or more. Another CALD group member spoke of

importance of residential time in South Australia in this way:

length of time is a

factor, because we are still adapted where we come from, so we are on the process

of adapting to the situation

(Sudanese community member).

3. English language proficiency

Lack of English proficiency, another personal conversion factor, can be a barrier for some CALD members to face hostile hot weather by limiting communication with neighbours and wider communities and barring access to any heat-related warnings and services. Sometimes the people having poor English proficiency do not show their interest in going to the cooled spaces like shopping centres to keep them cooler which may increase risks of mortality and morbidity. One respondent emphasised the language barrier with “Language is the factor that doesn’t encourage them to come out of the house” (Bhutanese community member).

4. Adaptive capacity

Individual adaptive capacity of the CALD members depends on some factors like mobility, awareness of preventive actions and job types. Some community members particularly newly migrants had limited mobility as they did not own a car or lack driving skills that reduced their adaptive capacity to extreme heat. Referring this, one respondent noted that some community members cannot go to cool places due to lack of driving skill. Unawareness of preventive actions that can protect heat adversity, for example, fluid intake to keep hydrated during hot weather, creates health issues including kidney stone, headaches and constipation to some community members. One participant described community ignorance about


preventive actions: “Our communities not, not all of them are fully aware of what needs to be done. For example, drinking adequate amount of water is very important in very hot weather and our people are not much very used to that one.

So, that has been one issue, basically awareness thing member).

(Bhutanese community

The discussions also revealed that some outdoor strenuous jobs such as fruit and vegetable picking and road construction works during extra hot weather add extra heat- discomfort to the workers who are mostly from CALD backgrounds.

when I

Expressing feelings from personal experience, a participant supplemented,

work in the outdoor in the summer 41/42 degree temperature … I feel very uncomfortable still” (Bangladeshi community member).

Socio-Economic Factors

Six key factors were identified under this theme which are interlinked with the increase of vulnerability of the CALD communities during hot spells. These include housing quality, income, power costs, financial issues, low socio-economic status and social isolation. The influences of these factors to CALD members which limit their adaptation strength to settle in South Australia are presented under 3 subthemes:

1. Low socio-economic status, electricity costs and housing

Narratives revealed that people from migrant groups particularly from refugee and humanitarian streams are often unable to gain employment due to poor educational attainment that creates financial disadvantage and curbs their capacity to face heatwave. A respondent from refugee background stated “…many people are not


don’t have enough money

they don’t go out for jobs or schools, they stay at home because they

(Bhutanese community member).

Low socio-economic status can be linked with low income and low income is associated with poor housing. Low income earners also may not be able to pay extra electricity bills for air conditioning over an extended period of time during heat wave. One respondent spoke of their poor income which is too less to manage the cost of air condition plus other expenses. High cost of electricity consumption, again related to financial ability, was raised as a major barrier to air conditioner usage. The effect of electricity price was stated: “…Now the electricity price is going too high and every night if we turn on our air conditioner, we have to think… to cut down air condition timing.” (Bangladeshi Community member). Families with low- income in the CALD groups are likely to be over-represented in the low-quality rental housing having no fan, and no air conditioner. Most respondents mentioned that tenants of houses with poor ventilation and little investment in energy efficiency are likely to be the most affected by the warming climate.



Social exclusion

It was revealed that strong social and family connections prevail in the CALD communities, however, poor English, financial issues, mobility and other related factors can lead to individuals or families becoming socially excluded. One participant expressed his views about isolation, “… they have no language, and they can’t go out and go to the shade, and go to the park.t. So they have to stay


might be associated with costing such as fuel cost and transport fare, and this costing may discourage the community members with economic exclusion. In the context of older people, one respondent expressed his confidence that clustered living of CALD communities may reduce their (older people’s) vulnerability to hot weather periods by sharing feelings with intra-community neighbours and was pleased: I think…at least the older people now have some access to another older person with clustered living in small scale.” (Bhutanese Community member).

(Bhutanese community member). Moving to cool places during heatwave

3. Environmental Factors

Respondents discussed the issues including housing characteristics, physical attributes of the neighbourhood such as amount of green space, and unfamiliarity with South Australian heat under this theme. The 3 subthemes under Environmental factors are described as follows:

4. Housing characteristics

The location, type and quality of housing can influence extreme heat impacts on general as well as CALD community members. Housing near the beach may be comparatively cooler with respect to other locations but it is beyond the affordability of most of the CALD members for their low socio- economic status. One respondent pointed out about reducing heat impacts: “it depends on where you live to get a cool

breeze that takes the temperature down at least by 10 member).

(Bangladeshi community

The building materials have influence on extreme temperature controlling such as solid brick houses, double brick houses, they keep much cooler in summer than modern brick big houses.Identifying the shortcomings of the present building design principles which are not mostly hot weather-friendly, one participant


way the houses are built, they need to put some sort of things that (Sudanese Community member).


will protect heat

Elevation of residential buildings may cause increased vulnerability to heat as top floor of the building gets warmer than that of the ground floor. Regarding this, one participant suggested, the authority needs to take steps for the people who live on the top floor of the building because “if heat gets straight into the room and then there is no way can go” (Sudanese community member).



Green space

The discussion explored that green space in front of the houses can reduce the temperature gradient between inside and outside during extreme heat. One

if you have a

,the temperature

respondent described his own experience about natural cooling,

very large tree, couple of trees in front of your house down at least by 10”. (Bangladeshi Community member).

, it keeps

6. Unfamiliar heat

Most respondents agreed that the type of heat in South Australia is somehow different from that of their country of origin, because of dry heat, they do not sweat and feel thirsty which creates health sufferings, for example, “urine infection. Particularly newly arrived migrants face this heat acutely due to unfamiliarity as the heat, the type of heat in Australia, in South Australia is quite different from the heat in Nepal and Bhutan…” (Bhutanese Community member). In contrast, one respondent expressed his good feelings with this dry heat: “Actually I feel better than

it is very comfortable” (Bangladeshi community

my country

member) which is just an individual physiological difference.

, here I don’t sweat

Response Issues

Issues raised through the CALD community members can be divided into two groups: enablers and barriers, as shown in Table 2. Enablers may include community network, cold water supply, beach access, adequate weather information, cool built environment and adaptable behavioural pattern. On the other hand, key barriers may include low income, lack of English proficiency, poor rental housing, cultural factors and lack of access to heat warning services. The enabler and barriers of the CALD communities to heatwave and some suggestions from the respondents are described in the following Tables 3, 4 & 5:

Table 3. Key enablers contributing to increase adaptive capacity to extreme heat in South Australia


Impacts on CALD communities

Community network

Most participants spoke of well-connected strong community networks in CALD communities which may be helpful to deal with heat as “it’s ”

easier for us to create awareness among community Community member).


Cold water supply and beach access

Availability of cold water supply in the houses and beaches in South Australia are supportive to reduce heat impacts in this way: “When we feel very hot, then we just feel like having more water or fluid at the same time, getting two -three times bath in a day that becomes us


(Bangladeshi Community member).

Adequate weather

Respondents spoke of adequate weather information regarding heat



warning messages from the Australian media which helps them to take preparation against heatwave even getting every individual suburb’s climate update, every hour basis”

Highly adaptable

Strong commitment to settle in South Australia makes most CALD members highly adaptable to hostile heat: “We have made the choice to

come to Australia and we have to live with it member).

(Bhutanese Community



We are planning to reduce the heat of our houses by making our investment slowly, like we put the solar panel, so that we can use more fans frequently.” (Bhutanese Community member).

Table 4. Key barriers contributing to increase vulnerability to extreme heat in South Australia



Low income

A barrier to pay electricity bill, rent heat-friendly housing, install air conditioning in living places and pay cost of fluids that may decrease response capacity of the CALD community to heat. “If you can’t actually turn on your air conditioner, how you can cope?(Bangladeshi community member).

Language barriers and low literacy

Most respondents spoke of language barrier that lacks some community members’ access to warning information on extreme weather events from the media, including TV and Radio news. They have to depend on their children for understanding of warning messages.

Cultural factors

Cultural factors such as sleeping patterns, mealtimes, foods and dresses are seen as barriers for families adjusting to heatwaves: “My wife and then my baby, they can’t sleep in standard hour; … In our country most of the lady, everybody, is used to very covering dresses and then head covers and the full sleeves…” (Bangladeshi Community member).

Some CALD communities believe half-shorts are poor people’s dress that are commonly used for summer dress. Lack of cultural practices like “in Sudan, we use shadows and open places to keep cool but here

if you don’t have some facilities, it becomes problem community member).


Housing design

Design and size of houses may be barriers to respond heatwave as

most of the renting houses are designed for 3 bed rooms which may not be sufficient for big families as some CALD community members are

blessed with 5 or more children.

In our country the houses are very

big and wide and most of the rooms have very wide ventilation!”



(Bangladeshi community member).

Unavailability of cool foods

Unavailability of some foods like tropical fruits and vegetables that may have potential to influence body temperature during hot weather period is recognised as response barrier to heat. “…I try to search the cool food but that’s not like our country, that’s a problem to cope” (Bangladeshi community member).

Table 5. Key suggestions from CALD community members contributing to address response barriers to extreme heat in South Australia




Reviewing housing design

“…any accommodation, the housing has to be reviewed, … the government has to put more investigation of houses that people are living in, whether they are heat-friendly for the people to live in” (Sudanese Community member).

Subsidised electricity bills

Respondents suggested subsidised electricity bills for the low- income families to afford air conditioning during heatwave. “Low income earners should get some subsidy in their electricity bill particularly” (Bangladeshi community member). Rebates also need to install solar panel as well for affordability.

Newly arrived migrants


any migrants come in Australia in summer time, definitely

should have it, they have (been) provided three to four months

government housing which is fully equipped community member).


Community media

Community TVs and Radios can convey heat warning messages in different community languages along with English. Main stream media like ABC ( Australian Broadcasting Corporation) and SBS ( Special Broadcasting Service, Australia) can also engage community presenters to broadcast heat warning bulletins:

“…message go across but if you say that we have to stick to the mainstream language, we don’t know English, bad luck, I think” (Sudanese community member).


All participants belong to CALD communities who are the residents of the City of Port Adelaide Enfield in South Australia. They entered Australia via different routes


including skilled migration process, on humanitarian grounds or as postgraduate students. This qualitative study has flagged some new insights into response issues relating to housing characteristics, the adaptive capacity of the CALD group members and their strong community support links. The implications of extreme heat on the various CALD communities and their responses are accommodated within four broad-based themes. Many factors are subjective and overlap within the different themes, though the dimensions differ.

The responses validate previous research findings that age can influence heat- vulnerability, e.g. Flynn et al. (2005), while Kovats et al. (2004) found older people and small children may be more vulnerable to heat due to their comparatively weak thermoregulatory systems. Another evidence is, during the 1995 Chicago heatwave, 73% of the victims were over the age of 65 (Touleman and Barbieri, 2005) which supports age factor. It is suggested that the language barrier may be a significant barrier to coping with extreme weather events (McGeehin and Mirabelli, 2001) and similarly in the present study, it is apparent that due to limited English some CALD members did not receive warning messages from media during heatwaves.

Schuman (1972) pointed out that poor quality housing may increase morbidity and mortality during heatwaves. The present study finds that factors like housing characteristics, income, rising cost of electricity, poor access to air conditioning systems and socio-economic status influence the CALD community members’ coping capacity. ARUP (2008) note that when residential buildings are not adapted to extreme weather conditions, heatwaves may cause discomfort and lead to disrupted sleep and loss of productivity (ARUP 2008). Other studies also have found that ventilation and window systems may cause heat-vulnerability (Vandentorren et al. 2006), while tree shading reduces surface temperature by 15-20 ο C and the air temperature by 5-7 ο C and can significantly improve human comfort (Ennos 2011). In Adelaide, South Australia, it has been observed that trees cool the ambient temperature by up to 10 ο C.

Many studies show that residential air conditioning can be a strong protective factor against heat-related deaths (Son et al. 2012; Naughton et al. 2002). Inability to pay air-conditioning bills, low income and high energy costs reported by the South Australian CALD interviewees may reduce their adaptive capacity, as in the Chicago heatwave study when many of low socioeconomic status preferred enduring heat to incurring large bills for air conditioning ( Klinenberg, 2003) leaving them at higher risk.

It is observed that people who live on the top floor of buildings are more vulnerable to heat because heat is easily transferred through thin roofs (McGeehin and Mirabelli 2001, Semenza et al. 1999). The South Australian findings concur with Lara et al. 2010 that people who work outdoors are commonly more exposed to heat and as a result, their vulnerability may increase. The research findings suggest that change of housing design can reduce present heat-vulnerability of the CALD groups.


Incorporating the new design, houses can be protected from overheating by reducing heat gain through windows and through warming of external surfaces (ARUP 2008; CSE 2011; Porritt et al. 2010).

Apart from housing design, social and cultural contexts also play a significant role in perceiving and responding to heatwave (Tillett, 2011). The interviews and discussions with the participants suggest there is good communication within and between the Adelaide CALD communities of different nationalities. The results suggest that unfamiliar weather pattern and delayed acclimatisation can be a major barrier to adaptation to their new surroundings supporting the findings of Kalkstein (1993). Several participants proposed subsidised electricity bills for newly migrated low-income community members. This recommendation endorses policy that exists in some states of the United States: in 2007, 16 states initiated cooling related energy assistance programs (LIHEAP, 2008).

The language barrier is identified as a key barrier to adaptation to extreme heat for the Bhutanese and Sudanese community members, because most of them are settled here on humanitarian grounds and did not have the opportunity to learn English. A participant has suggested that community leaders or representatives could be invited onto community TV programs to convey the warning messages to their respective communities in their own language. This issue does not affect the Bangladeshi community as much, because most Bangladeshi community members migrate to Australia within the skilled migration process and studentship. Acclimatisation to the unfamiliar seasonal weather pattern in Southern Australia is the main issue for the Bangladeshi community, since they are habituated to a succession of six different seasons particularly a long rainy season and are unaccustomed to the dryness of the long hot South Australian summer

The strength of this study is that the participants have been able to provide clear information about their personal experience regarding the research topic as well as they could articulate their perspectives on relevant issues (Morgan 1997, Krueger and Casey 2000). The sample, though small, recognises the distinct national, cultural and socioeconomic characteristics of the CALD communities interviewed in Adelaide. They are keen to contribute ideas to remedy a major difficulty they unexpectedly encountered upon arrival in their adopted home - the difficulties of coping with extreme heat. Along with the mainstream media, community leaders or representatives from a community could be invited by community TV programs to convey the warning messages to their respective communities in their own language.

One of the main limitations is that the study has been conducted in the month of August and September when it was mostly cool weather. As a heatwave may be unpleasant and hence a less than memorable event, it may recede quickly from the participants’ collective memory (Carlson 2008). The study season may then affect the data input and conclusions - this view is reflected in many other studies, such as Banwell et al. (2012) and Abrahamson and Raine (2009).Another limitation is the


time constraint, in this case 14 weeks. If more time would be available a larger number of CALD communities could be engaged for interviews and focus groups.

Availability of interested respondents is another constraint. Diversity restricts understanding the views precisely because sometimes it is difficult to recognise a range of English accents or dialects (Small et al. 1999). Snowball sampling process may have different drawbacks like bias sampling because of its non-random and non-heterogeneous characteristics and may influence the findings of the study. Thematic analysis is carried on with subjective meaning of the data; it may have various interpretations depending on the expectations of the researchers. The number of community respondents may be considered a limitation of the study. Three communities and seven participants may not be sufficient for generalisation of CALD communities in South Australia. A minimum three to four focus groups (Morgan 1997, Krueger and Casey 2000) with optimally five to ten individuals in each group (Krueger and Casey 2000) are recommended, -however useful indications can be obtained with fewer participants (Mclinnes and Ibrahim 2010)

The findings are important in many ways as it indicate useful indication for sustainable social adaptation planning and CALD community adaptation planning. This study attempted to understand the adaptation process of CALD communities to extreme heat. The results may help state and local authorities to explore the problems. Additionally, it can be the basis of conducting further research. This research has been conducted within limited range because of time constraint and unavailability of interested participants. To further explore the perceptions of new migrant communities, an optimal number of focus group discussions and interviews with increased size of samples would be needed.

Conclusions and recommendations

Using a qualitative approach, this preliminary study has identified and explored some aspects of response enablers and barriers through discussions and interviews with a small number of representatives of three CALD communities to extreme heat events in the City of Port Adelaide Enfield, South Australia. The strong adaptive capacity of individuals and intra-community networks are seen as enablers, while the identified barriers are lack of English language, acclimatisation problems and the unaffordable costs of electricity. Some members of the CALD communities, particularly from refugee backgrounds, experience a language barrier to their access to heatwave information. Most newly arrived migrants experience suffering during heatwaves. The soaring price of electricity is a barrier for low-income members to maintain more acceptable air conditions. Due to low socio-economic status some migrants have to live in cheap renting houses with poor ventilation, low ceilings, inefficient and ineffective insulation and window systems which may not be heat-friendly. This study has gathered some knowledge, perceptions and emotional responses of the respondent communities regarding their reactions to extreme heat events and climate change. Some proposals are recommended, such as introducing financial


support for low-income members to meet extra costs of electricity and fluids, adopting culturally appropriate heat-friendly housing design and developing a heatwave health awareness programme. The findings are completely consistent with other national and international studies, but an expanded study with more participants from these and other culturally and socially diverse countries would possibly tap into additional and innovative strategies.

More comprehensive efforts are needed to gather response characteristics of other CALD communities to address extreme heat events effectively and efficiently. By taking some short- and long-term strategies, vulnerability of the CALD communities can be reduced.

In the light of the findings, we recommend the following some short- and long-term strategies to assist CALD communities to adapt to extreme heat (Table 6):

Table 6. Recommendations for the governments at different levels

Type of strategies

Issues to be addressed

Implementing authority


Heatwave allowance to assist low- income CALD group members for gaining access to air conditioning and purchasing fluids

Federal government and State government (for concession power payments specifically during heatwave).


Community media for broadcasting heat health warning messages in different community languages

State government & Federal government and Australian National Media with the help of CALD Community organisations


‘Cool Homes’ initiative such as City of Melbourne (City of Melbourne 2012)

Local Government


Culturally appropriate Education and Outreach programs for building awareness about heatwave preventive actions

State government and Local government


Temporary heat-friendly accommodation for newly arrived migrants

Local government


Initiating energy-efficient, weather- friendly, culturally appropriate sustainable housing projects for the low-income CALD group members. Surrounded by green spaces, houses would be facilitated with solar panel, micro wind turbine and biogas for renewable energy generation. Besides, both mechanical and natural cooling

Local government with the financial assistance of Federal government and State government.


systems with improved solar control ventilation, ground, evaporative and radiant cooling options might be incorporated.

systems with improved solar control ventilation, ground, evaporative and radiant cooling options might be incorporated. This would help to save energy costs, reduce carbon emissions and improve local microclimate.

might be incorporated. This would help to save energy costs, reduce carbon emissions and improve local

Effective engagement with the CALD communities to enhance their understanding of heatwave impacts and its preventive actions is required as part of both short and long term strategies. Community members can then learn to make their own heatwave plans and become more resilient and well-adapted to the climate of their new environment.


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Relationship between economic development and pollutant discharge in Southeast Queensland

Yoshiaki Tsuzuki 1,2*

1 Faculty of Engineering, Architecture and Information Technology (EAIT), The University of Queensland, Australia 2 Research Centre of Coastal Lagoon Environments (ReCCLE), Shimane University, Japan * E-mail:; Ph: +61 7 3365 3912


Some relationships between economic development and pollutant discharge have been found to be represented by inverted U-shaped curves, namely the environmental Kuznets curve (EKC), while S-shaped and N-shaped curves have also been found. There are several hard and soft measures to improve water quality in the rivers in Southeast Queensland. Socio-economic conditions related to river water environment in Australia and Japan have similarities and differences. Comparative investigations have not been conducted so far. In this research, first, qualitative comparisons of the measures to improve the river water environment in Australia and Japan were conducted. Second, the relationships between economic development level and pollutant discharges in Southeast Queensland from 1960 to 2012 were investigated. Pollutant discharges from diffuse sources were estimated based on the existing research results. Effects of precipitation variations were included by introducing the precipitation variation coefficient (PVC) for the diffuse source pollutants. Pollutant discharges from point sources were estimated based on the National Pollutant Inventory (NPI) and the Queensland Government data. The relationship between purchase power parity based gross domestic product (PPP- GDP) per capita and pollutant discharges per capita (PDC) of TN and TP were found to show inverted U-shaped curves especially when the precipitation effects were not included. Higher economic development levels of the inflection points than those of the existing research results suggested that the inflection points in the Brisbane River Catchment found in this research should correspond to the pollutant discharge reductions from point sources in the 2000s. The exceptional inverted U-shaped EKC of PDCs in the Yamato-gawa River Catchment, Japan, on the curvatures of the left and right halves of the curves showed the effectiveness of the hard and soft measures for pollutant discharge reduction.


economic development; flood infiltration system; pollutant discharge; precipitation variation coefficient (PVC); purchase power parity based gross domestic product (PPP-GDP); stormwater harvesting project



From water environment conservation perspectives in Southeast Queensland (SEQ), applications of fertilisers and agricultural chemicals, increase of livestock, and land and urban development have caused enormous terrestrial pollutant discharge increases over 100 years including the Brisbane River Catchment (Neil, 1998; Dennison and Abal, 1999; Olley et al., 2006). Therefore, it is worth investigating the relationship between the economic development and pollutant discharges.

An inverted U-shaped curve for the relationship between income level and income inequity has been proposed by Kuznets as a hypothesis (Kuznets, 1955). In the 1990s, the inverted U-shaped curve has been applied to the relationship between economic development level and environmental burdens, and named the environmental Kuznets curve (EKC) (Grossman and Krueger, 1991, 1995; Dasgupta et al., 2002). Because of the extensive concerns and interests in climate change, relationships between economic development and amounts of greenhouse gas (GHG) emission, especially carbon dioxide (CO 2 ), have been investigated by many researchers with several frameworks of area, location and duration of time. For the relationship between gross domestic product (GDP) per capita and CO 2 emission, log-scales are sometimes applied for the investigations, and symmetric inverted U- shaped curves are not necessarily observed while parabola equations usually apply (Booth et al., 2013; Liao and Cao, 2013).

In the developed countries, the EKC relationship for CO 2 emission and GDP per capita has been found only for southern European countries but not Asian-Pacific and northern European countries (Mazzanti and Musolesi, 2013). Following the economic downturn in the former Soviet Union (FSU) countries, affluence and CO 2 emission has decreased in the 19901995 collapse period, and affluence has increased and CO 2 emission has been stable or increased in 19962010 (Brizga et al., 2013). For CO 2 and GHG emissions from 22 developing countries in Asia, Sub- Saharan Africa and Latin America, N-shaped relationships have been found for each region and all the countries (Babu and Datta, 2013).

In the energy sector, the results have been divided into countries with and without energy source transformation from fossil sources to nuclear and modern renewable sources (Burke, 2012). For the effects of economic development on the environmental burden related to transportation, the relationship between GDP per capita and sulfur dioxide (SO 2 ) and suspended particulate materials (SPM) emissions and the number of accidents have resulted in the inverted U-shaped curves. On the contrary, SO 2 and SPM emissions, energy consumption, and the use of private vehicles have been found to monotonically increase with economic development, while nitrogen dioxide (NO 2 ) emission has been found to decrease with economic development in Tunisia for 19892008 (Mraihi et al., 2013).


The theoretical explanations of the EKC have been investigated for pollutant generation, pollutant-specific generation of industrial sectors, pollutant discharge reduction technologies (Jing et al., 2013), net economic growth effect, scale- technique effect and time-series emission properties (Andreoni and Levinson, 2001; Lai and Yang, 2014). Theoretical considerations based on the EKC research have included private property rights, the role of institutions and rules, respect and enforcement of contracts, the efficiency of the bureaucracy, the efficacy of the rule of law, the extent of government corruption, the risk of appropriation, the not-in-my- backyard (NIMBY) situation and a general model including other “exceptions” than the inverted U-shaped curve (Knack and Keefer, 1995; Ansuategi and Perings, 2000; Yandle et al., 2004). When multiple countries and regions are considered, the concept of the EKC is related to the pollution haven hypothesis (PHH). Liberalisation of trade has been considered to be effective to reduce water pollutant discharges based on a provincial-level analysis of China in 19871995 under the conditions of pollutant discharge levy systems (Dean, 2002).

Research into the application of the EKC has been made for free trade and open economies in the 1990s and 2000s. The effects of open economies such as the North America Free Trade Agreement (NAFTA) on environmental pollution have been one of the major concerns in the research related to EKC (Grossman and Krueger, 1991; Cole, 2004). When the EKC exists, economic development of several countries, including both developed countries and developing countries, would lead to decreases of environmental burdens in such countries. Criticism for this hypothesis includes that economic development could lead to more pollution. Some research results show S-shaped or N-shaped curves, an environmental burden decrease after the first inflection point and a further increase after the second inflection point (Yandle et al., 2004; Chen and Wang, 2013; Wang and Wei, in press). These curves have also been discussed in the contexts of the EKC. Other factors which have been considered to explain environmental burden include education and inequity, which have been found to be significant (Hill and Magnani, 2002).

However, there are also results which have not supported the EKC hypothesis (Perman and Stern, 2003). Individual and panel cointegration tests have not supported the EKC hypothesis. Monotonic relationships and U-shaped curves have been observed for some parameters in some existing research (Table 1) (Perman and Stern, 2003; Tsuzuki, 2009a; Mazzanti and Musolesi, 2013; Mraihi et al., 2013). The subject matters of the EKC hypothesis have also included topics other than air pollution, water pollution and solid waste discharge, e.g. the relationships between economic development and deforestration (Bhattarai and Hammig, 2001; Culas, 2007), climate change, biodiversity and ecosystem services in European forests (Ding and Nunes, 2014), economic development and the number of animals killed (Morris, 2013), CO 2 emission per GDP and the Gini coefficient (Petri and Thomas, 2013), urbanity and direct and indirect CO 2 emissions (Ala-Mantila et al., 2014), human health, irrigation and water sector development and agricultural land-use


patterns (Yandle et al., 2004), and ages and CO 2 emission in the USA and France (Chancel, 2014).

Accumulation of empirical evidence is necessary for further theoretical development. For water pollutant discharges, the evidence has still been limited compared to air pollutant emissions such as CO 2 and GHG emissions. Economic development relates to the human and natural causes affecting river water quality. The water environment management in many areas has been improved from technological, regulative and institutional aspects based on the socio-economic conditions. Therefore, evaluations of chronological alterations are necessary to enhance understanding of the relationships between economic development, pollutant discharge and river water quality.

Discussions on the EKC include whether the EKC exists or not, and also what the economic development level and environmental burden of the inflection points or turning points actually are (Table 1). The inflection points are usually evaluated with per capita income indicators. In the 1990s and the early 2000s, the inflection points have been calculated to be USD 4,0005,000 for air pollutants and USD 3,00010,500 for water pollutants at 1985 prices (Grossman and Krueger, 1991, 1995). Economic levels of the inflection points in most existing research have been USD 3,00012,700 (Table 1). There have been some exceptional results such as USD 1205,700 in the Southeast Asian countries (Saboori and Sulaiman, 2013), and USD 400 and 117,000 for the cross-country analysis on SO2 emissions (Perman and Stern, 2003). For water pollutant discharges, USD 13,300 for chemical oxygen demand (COD), USD 5,600 for total nitrogen (TN) and USD 11,600 for total phosphorus (TP) have been found from the chronological investigations in a Japanese catchment (Tsuzuki, 2007, 2009b). For the cross-country investigations of developing countries, USD 2,2005,100 for biological/biochemical oxygen demand (BOD) and USD 11,000 for TP have been found (Tsuzuki, 2008, 2009a). Pollutant discharge indicators are theoretically more reliable for the EKC analysis because water quality indicators are affected not only by pollutant discharges but also several other natural and socio-economic conditions (Tsuzuki, 2007, 2009b). After reaching the inflection points, the curvatures of right-half curves may be smaller than those of the left-half curves (Figs. 1 and 2 of Burke, 2012; Fig. 1 of Liao and Cao, 2013). This might suggest the curve of the conventional EKC shown in Fig. 1 of Dasgupta et al. (2002). An environmental burden has also been suggested to decrease to the same level with the beginning after the economic development and to continue the small level after that, which is approximated by a third-order equation (Du et al., 2014).

For the relationships between economic development level and pollutant discharge per capita (PDC), chronological relationships in the catchments of Lakes Shinji and Nakaumi, Japan, between 1955 and 2000 have been found to be of inverted U- shaped curves for COD, TN and TP (Fig. 1) (Tsuzuki, 2007, 2009b). Cross-country panel data analysis for the coastal areas of Asia, Africa and Pacific countries has


Table 1. Inflection points of some existing research on the environmental Kuznets curve (EKC) for the relationships between economic development and environmental burdens

No. Author




Environment parameters

Socio-economic parameters Specific sector

EKC was observed (Parameter, area or EKC was not observed (Parameter, area

Inflection point (USD)

Specific methods



or method)

1 Wang, Wei

in press

China, 30 major cities


CO 2 , Energy consumption

N-shaped curve

N-shape: 12,052 and 12,341

DEA a based method

2 Booth, Hui, Alojado, Lam et al.





Dioxin emission


3 Chen, Wang




Urban green space, Urban green

GDP per capita

Urban green space: N-shaped curve

N-shape: 8,137 and 17,209


space coverage

4 Mraihi, Harizi, Alaouia




CO 2 , NO 2 , SO 2 , SPM, energy


SO 2 , SPM, The number of accidents

Monotonical increase: SO 2 , SPM, energy

SO 2 , SPM and the number of accident:


consumption, accidents, use of

consumption, use of private vehicles; and


private vehicles

L-shaped downward curve: NO 2 .

5 Mazzanti, Musolesi


Developed countries

CO 2

GDP per capita

North Europe

Coallition (Asia-Pacific), South Europe


6 Bekhet, Yasmin




CO, NO 2 , SO 2 , PM 10 , O 3

CO, PM 10 , Nemerow Index


7 Shahbaz, Ozturk, Afza, Ali




CO 2 , energy intensity

Economic growth,

Long run and short run


ARDL b bounds testing approach, the



Granger causality test, and VECM c .

8 Saboori, Sulaiman


5 ASEAN countries


CO 2 , energy consumption

Singapore, Thailand

Indonesia: 657; Malaysia: 116;

ARDL b bounds testing approach, the


Phillippines: 1,215; Singapore: 5,731;

Granger causality test, and VECM c .

Thailand: 1,752

9 Burke


105 countries

CO 2

CO 2

3,640-29,726 (2005 prices)

10 Tsuzuki


24-42 developing countries Cross-county, 1990s BOD, TN, TP

GDP per capita

BOD, TP (Inverted U-shaped curve)

TN (U-shaped curve)

BOD: 5,054; TP: 11,199

11 Tsuzuki


23 developing countries

Cross-county, 1990s BOD, TN, TP

PPP-GNI per capita

BOD, TP (Inverted U-shaped curve)

BOD: 2,245 d ; TP: 10,957 d

12 Tsuzuki

2007, 2009 Catchment of Lakes Shinji



Nominal gross prefecture


COD: 13,283; TN: 5,550; TP: 11,609


and Nakaumi

product per capita

13 Perman, Stern.


74 countries

31 years

SO 2

SO 2

For the indivisual countries and panel

Unrestricted model: 10,795; Pooled mean

Cointegration analysis


cointegration tests, out of the sample range

group restricted model: 15,063; Static

and monotonic emission-income

fixed effects model: 82,746.

relationship has been implied.

Non-OECD countries: Unrestricted


estimate: 403; Pooled mean group: 28,792;

Fixed effects model: 116,619.

14 Dasgupta, Laplante, Wang, Wheeler



Several air and water pollutants

Income per capita

USD 5,000-8,000

15 Grossman and Krueger


42 counties


BOD, COD, NO 3 -N, T.coli e , F.coli f

GDP per capita

BOD, COD, NO 3 -N, T.coli e , F.coli f

BOD: 7,623; COD: 7,853; NO3-N:


10,524; T.coli: 3,043; F.coli: 7,955

16 Grossman and Krueger


19-42 countries


SO 2 , smoke (dark matter), SPM g

GDP per capita

SO 2 , smoke (dark matter), SPM g

SO 2 ,and smoke (dark matter) 4,000-5,000;

SPM g : 15,000-16,000

a: Data envelopment analysis; b: Autoregressive distributed lag; c: Vector error correction method; d: Re-calculated based on the data of the literature; e: Total coliform; f: Escherichia coli; and g: Suspended particulate matter.


(g day -1 person -1 ) (g day -1 person -1 ) 25 1.6 COD
(g day -1 person -1 )
(g day -1 person -1 )

Nominal gross prefecture product per capita (Million JPY)

Figure 1. Relationship between economic development and pollutant discharges per capita (PDC) in the catchments of Lakes Shinji and Nakaumi, Japan, from 1955 to1993 (Tsuzuki, 2007, 2009b)




















Average daily

Average daily

Monitoring point for precipitation (P)






and temperature (T)





km 2


'000 person

person km -2

mm year -1



Oxley Creek




585 Sub-tropical



15.7 Archerfield Airport (P:1972-2013,



Norman Creek




3,020 Sub-tropical



14.3 Brisbane (P:1840-1994, T:1987-1986)

Noosa River








15.8 Sunshine Coast Airport

Moreton region (1971) b


NA c


48 Sub-tropical



15.7 Brisbane (P:1840-1994, T:1987-1986)

Southeast Queensland


NA c


140 Sub-tropical



15.7 Brisbane (P:1840-1994, T:1987-1986)

Brisbane River




163 Sub-tropical



15.7 Brisbane (P:1840-1994, T:1987-1986)

Yamato-gawa River








11.7 Sakai (Osaka)




10.0 Nara (Nara)

Lakes Shinji and Nakaumi




186 Temperate



11.1 Matsue (Shimane)

a: Oxley Creek in 1991, estimation was 113,300 in 1996 and 152,181 in 2011. In Noosa Catchment, total number of people in the catchment is almost doubled in the tourism season.

Southeast Queensland on 30 June 2010. Yamato-gawa River basin is for 2010.; b: Moreton region was consisted of Brisbane, Gold Coast, Ipswich and Redcliff cities, and Albert,

Beaudesert, Boonah, Caboolture, Esk, Gatton, Kilcoy, Laidley, Landsborough, Maroochy, Moreton, Pine Rivers and Redland Shires in 1973; c: Not available.


Brisbane City Council Information (2011) Norman Creek vision and concept plan

Brisbane City Council Information (2012) Know your creek, Norman Creek Catchment

Oxley Creek Cathment Association (1999) Oxkley Creek Catchment Management Plan

Interview to Sunshine Coast Council (2013) Personal communication

Australian Bureau of Statistics (2001, 2006 and 2011) Census of Population and Housing

Australian Government Bureau of Meteorology (2014) Climate statistics for Australian locations (, accessed on 17 May 2014)

Brisbane, Queensland Co-ordinator-General's Department (1973) Moreton region: man made environment

Yamato-gawa River Office (2005) Explanation of current conditions of the Yamato-gawa River, Yamato-gawa River Committee materials (in Japanese)

Japanese Meteological Agency (2013) Statistic data of meteorological information (, accessed on 11 Jul 2013) (in Japanese)

Shimane Prefecture (Japan) (2010) The fifth lake water quality consevation plan on Lake Shinji (in Japanese)

Shimane and Tottori Prefectures (Japan) (2010) The fifth lake water quality conservation plan on Lake Nakaumi (in Japanese)

showed the EKC relationships for BOD and TP (Tsuzuki, 2008, 2009a). There are differences in socio-economic conditions in the catchments in Japan and Australia (Table 2).


Population density in Southeast Queensland and the Brisbane River Catchment, 140 and 163 persons km -2 , are closer to that of the catchments of Lakes Shinji and Nakaumi, 186 persons km -2 , than that of the Yamato-gawa River, 1,964 persons km -2 , when compared to the catchments in Japan. Among the 60 countries with the largest populations in the world, population density is the smallest in Australia, 2.92 persons km -2 , and Japan is the fifth largest, 337 persons km -2 (Fig. 2). There are several water environment programs focusing on the rivers and creeks in Australia including the Healthy Waterways and Southeast Queensland (SEQ) Catchments in Southeast Queensland (Q’DERM, 2009; Healthy Waterways, 2012). There are various measures to reduce pollutant discharges and to improve river water quality in these countries (Healthy Waterways, 2012; Tsuzuki et al., 2012). Ambient water quality has been managed with water quality modellings such as the SEQ Receiving Water Quality Model (Q’DERM, 2010; Parslow, 2011). It is questionable whether similar EKC relationships are observed for the relationships of economic development level and pollutant discharges in these countries.

population density

(person km -2 )









Japan Australia


Japan Australia